Compliance Analyst

Role Overview:

The Compliance Analyst will support the company’s compliance efforts in the UAE, particularly in the retail trading and financial markets space. This individual will work closely with senior compliance professionals across the group to ensure the business adheres to the applicable regulations, with a focus on SCA regulations and financial crime prevention. The Compliance Analyst will play an integral role in the day-to-day compliance activities, transaction monitoring, regulatory reporting, and compliance training.

Key Responsibilities:

• Regulatory Compliance & Monitoring:
  • Assist in ensuring that the business complies with all relevant SCA regulations and other applicable local and international requirements.
  • Monitor and report on regulatory changes, keeping the business informed of any new compliance obligations.
  • Provide guidance on compliance issues and support senior compliance staff with regulatory inquiries.
• Financial Crime & Transaction Monitoring:
  • Support financial crime risk management efforts, focusing on Anti-Money Laundering (AML), Counter Financing of Terrorism (CFT), and other global best practices.
  • Help with transaction monitoring activities, analyzing transactions for suspicious activity and assisting in the preparation of suspicious activity reports (SARs).
  • Collaborate with internal stakeholders to investigate potential financial crime issues.
• Compliance Program Support:
  • Assist in the development, implementation, and maintenance of compliance policies and procedures tailored to the company's operations in the UAE.
  • Help with risk assessments and identify potential compliance gaps.
  • Assist with audits, reviews, and ongoing compliance monitoring.
• Regulatory Reporting & Liaison:
  • Help prepare regulatory filings and reports to the SCA and other relevant authorities.
  • Assist in maintaining good relationships with regulators and ensuring timely compliance with regulatory deadlines.
• Training & Awareness:
  • Support the delivery of compliance training programs across the business, focusing on regulatory requirements, financial crime prevention, and ethical conduct.
  • Assist in fostering a culture of compliance within the organization by promoting awareness of key regulatory obligations and risks.
• Internal Collaboration:
  • Work with various departments, including legal, risk, and operations, to support compliance objectives.
  • Provide support in preparing compliance updates and reports to senior management on emerging issues or trends.

Skills & Competencies:

• Strong written and verbal communication skills, with the ability to communicate compliance matters effectively to both technical and non-technical stakeholders.
• Detail-oriented with strong analytical skills and the ability to identify and escalate compliance risks.
• Good eye for risk and ability to identify and escalate problems in a timely manner.
• Ability to think bigger picture and work across multiple lines of business and jurisdiction to solve problems holistically and commercially, and not in a silo.
• Good organizational and time-management skills, with the ability to manage multiple tasks in a fast-paced environment.
• Willingness to learn and develop in the compliance field, with the ability to work independently and as part of a team.
• A professional, ethical approach to compliance and business matters.
• Fluency in English; proficiency in Chinese (Mandarin or Cantonese) is an advantage.

Qualifications & Experience:

• 1-5 years of experience in compliance roles within the financial services, retail trading, or investment sectors.
• Basic understanding of SCA regulations and other relevant local and international regulatory frameworks, particularly in relation to CFD and FX trading.
• Familiarity with financial crime risk management practices, including AML and CFT regulations.
• Some experience in transaction monitoring, compliance reporting, and managing regulatory inquiries.
• Bachelor's degree in law, finance, economics, or a related field.
• Chinese language skills (Mandarin or Cantonese) are preferred, due to business requirements in China and the wider APAC region.
• Any relevant compliance certifications (e.g., ICA, ACAMS, or equivalent) are a plus.