Role Overview

Conduct compliance testing and monitoring reviews to ensure adherence to DFSA/ CMA rules, internal policies, and regulatory obligations
Answer or coordinate the responses to queries from the business to resolve compliance related issues ensuring license activities comply with the DFSA/ CMA Conduct of Business (COBs) rules
Ensuring ongoing compliance with local and international laws, including timely regulatory and audit submissions
Assist in developing and updating internal policies that reflect the DFSA / CMA regulatory environment
Assists reviewal of Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and ongoing client monitoring in adherence to UAE AML Rules and Regulations
Assist with the implementation of the transaction monitoring systems
Collaborating with legal, risk, finance, operations, technology, and front-office teams to embed compliance into strategic projects
Assist with the collation of information for internal and external disputes.
Assist in drafting and maintaining compliance policies and procedures in accordance with DFSA and CMA regulatory requirements
Monitor DFSA/CMA regulatory updates, consultation papers, and notices
Conducting and managing investigations of unusual activity
Provide day-to-day compliance guidance to internal stakeholders regarding DFSA / CMA regulatory requirements and client compliance issues
Maintain and update regulatory registers
Ensure compliance records are maintained in accordance with DFSA and CMA record keeping requirements including regulatory registers
Contributing to incident, error, and breach assessments and maintaining required registers

Requirements

Bachelor’s degree in business administration, Finance, Law, or related field
3
5 years of experience in compliance preferably within DFSA or CMA regulated firms
Strong knowledge of financial laws and regulations within the UAE region
Experience in retail investments, trading, or retail financial services
Strong analytical, problem-solving, and stakeholder engagement abilities
Excellent communication (written and verbal)
Ability to manage complex compliance matters
High ethical standards, integrity, and transparency
Resilience and adaptability in fast paced environments
Interest and understanding of cryptocurrency
Knowledge of AML and financial regulations across multiple jurisdictions (Desirable)
ICA, ACAMS, CISI or similar regulatory qualifications (Desirable)
Native Arab speaker (Desirable)

Benefits

Competitive salary structure including company bonus scheme
Annual remuneration review
Employee referral bonuses for referring top talent to the company
Genuinely collaborative and friendly culture
Flexible and hybrid working
Remote working option
work from anywhere for up to 6 weeks per year
Ongoing personal development & learning opportunities
3 paid volunteering days per year & Workplace Giving Program
Enhanced Sick leave policy
20 days of paid vacation within the first year of employment, increasing to 25 days after one year
Employee monthly & quarterly recognition programs for outstanding performance and achievements
Regular events and celebrations
Comprehensive medical insurance & opportunity to join the Dental scheme

Pepperstone

Open Positions (1)

Legal

Senior Compliance Analyst