Senior Compliance Analyst
Core
Senior Compliance Analyst supporting the Compliance Officer/MLRO in operating the compliance framework for CMC Markets Middle East Limited, ensuring adherence to DFSA Rulebook, DIFC laws, and UAE federal requirements.
Role type
Senior IC compliance analyst (financial services)
Builds
Compliance framework, regulatory reporting, and client classification oversight for a professional client base
Domain
Financial services / Online trading / Regulatory compliance
Required skills
DFSA Rulebook knowledge, AML/CFT and sanctions expertise, compliance monitoring and testing, regulatory reporting, financial promotions review, client classification oversight, policy drafting, complaints management, training delivery
Preferred skills
DFSA supervisory process experience, online trading/CFD/brokerage background, professional compliance/AML qualification (IC Diploma, CAMS), Licensed Function approval, team supervision
Technologies
None stated
Responsibilities
Act as first point of contact for compliance queries and escalate matters; Identify, record, and escalate breaches and regulatory risks; Maintain compliance registers (breach, conflicts, gifts, personal accounts); Review new products and business initiatives for compliance; Deputise for CO/MLRO on compliance and financial crime matters; Conduct monitoring reviews and control testing; Prepare DFSA returns and notifications; Monitor regulatory changes and recommend policy updates; Review and approve routine financial promotions; Manage the complaints-handling process; Deliver compliance and AML training
Seniority
Senior, hands-on IC