Senior Compliance Analyst

The Pepperstone story started in 2010. We know what it's like to trade the world's markets. Our team describes us as a place for the curious and the driven, and we like to do things a little differently; as a transformative global fintech we're digital, nimble, connected, and united in our vision to create a better way to trade.

We thrive on progress - for our clients and for ourselves. Our organisational culture is ever-evolving, vibrant, diverse, global and results focused. You'll find our 700+  team currently across 12locations and 9time zones.

The Role

As a Senior Compliance Analyst, you will play a vital role in supporting the Compliance team to ensure our Firm consistently operates within the regulatory frameworks set by the Dubai Financial Services Authority (DFSA) and the UAE Capital Market Authority (CMA), as well as adhering to UAE laws and our internal compliance policies.

You will work closely with the Compliance Manager to uphold the firm's compliance monitoring program, bolster our financial crime prevention measures, meet regulatory reporting requirements, and maintain a robust internal control environment. This role is key to ensuring alignment with the CMA and DFSA Rulebook, including the General Provisions (GEN), Conduct of Business (COB), and Anti-Money Laundering (AML) modules relevant to the Firm's approved activities.

Key Responsibilities:

• 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

About you

• 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

Desirable:

• Knowledge of AML and financial regulations across multiple jurisdictions
• ICA, ACAMS, CISI or similar regulatory qualifications
• Native Arab speaker

Why you will enjoy working with us

• 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