Compliance Analyst (6 month Fixed Term Contract)

Overview

Connecting clients to markets and talent to opportunity.

With 4500 employees and over 300000 commercial institutional payments and retail clients we operate from more than 70 offices spread across six continents. As a Fortune 100 Nasdaq-listed provider we connect clients to the global markets focusing on innovation human connection and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities or ingrain yourself in the world of institutional investing StoneX Group is made up of four business segments that offer endless potential for progression and growth.

Business Segment Overview:

Corporate: Engage in a deep variety of business-critical activities that keep our company running efficiently. From strategic marketing and financial management to human resources and operational oversight youll have the opportunity to optimize processes and implement game-changing policies.

Position Purpose:

The Compliance Analyst reports to the Associate Director of Compliance and will support the compliance team to ensure the firm complies with all regulatory requirements and internal policies. The role is varied and will include assisting with monthly and quarterly compliance monitoring tasks responding to client requests for KYC information maintaining registers and records to meet regulatory requirements issuing training courses and policies to new joiners and existing employees and supporting the team with other compliance-related tasks.

The position is ideal for an individual who has worked in compliance or audit roles previously. The individual must have exceptional organisational skills be proactive attentive and be able to switch between tasks throughout the day. Existing knowledge of the Dubai Financial Services Authority rulebooks would be helpful but not essential.

Responsibilities

Duties & Responsibilities:

Responsibilities include but are not limited to:

• Performing testing as detailed in the firms Compliance Monitoring Programme which is designed to ensure compliance with the legislation in the DIFC including UAE federal laws and DFSA rulebooks. and internal policies and procedures document the outcome and save supporting evidence.
• Maintaining registers and trackers including registers to record gifts and entertainment personal account dealing and outside business interests. Participating in weekly compliance and client onboarding meetings and taking the minutes.
• Logging and tracking compliance tasks and remedial actions on the compliance tracker to conclusion.
• Assisting with the preparation of Management Information including composing professional looking reports and PowerPoint slides.
• Assisting with client KYC requests by gathering information and liaising with the client.
• Monitoring the compliance inbox to ensure matters are being dealt with in a timely manner.
• Supporting the team with day-to-day compliance tasks ad-hoc projects and other duties as and where required.
• Taking ownership of tasks and processes within the Compliance department ensuring that tasks are undertaken in a professional manner to high standards and delivered within the agreed timeframes.

Qualifications

Experience & Skills Required:

• Minimum of 3 years prior experience within a similar role is required.
• Strong attention to detail and organisational skills are a must.
• Good knowledge of Microsoft Office in particular Excel.
• Ethical and understands the importance of complying with the rules.
• Ability to develop relationships internally and with clients of the company.
• Proactive with the ability to pick up an issue run with it and provide timely feedback. Able to multitask effectively.

Working environment:

• Hybrid
• 6 Month Fixed Term Contract

#LI-Hybrid #LI-AS1

Required Experience:

IC