AML & Compliance Officer

Overview

About the Role

AML / Financial Crime

• Support the MLRO in the day-to-day operation and ongoing enhancement of the Firm’s AML/CTF, sanctions and financial crime framework.
• Act as deputy to the MLRO in operational AML matters and provide support and cover where required and appropriately authorised.
• Assist in the review, maintenance and enhancement of AML policies, manuals and procedures
• Support the review and enhancement of the Firm’s AML Business Risk Assessment, Customer Risk Assessment methodology and related risk rating processes.
• Conduct CDD and EDD reviews, identify deficiencies and support remediation of onboarding and existing customer files.
• Support the execution and quality assurance of periodic reviews, including screening evidence, customer outreach, supporting records and maker-checker controls.
• Review and investigate transaction monitoring alerts, sanctions screening alerts, internal suspicious activity referrals and other financial crime escalations.
• Assist in the preparation, documentation and escalation of internal STRs, external STRs/SARs and related case files.
• Assist in strengthening sanctions and targeted financial sanctions controls, including screening procedures, match dispositioning, reporting steps and record keeping standards.
• Support AML remediation programme, internal audit observations, compliance reviews or control weaknesses.
• Maintain clear, coherent and retrievable AML records, including investigation files, review evidence, escalations, training records and remediation evidence.

Compliance / Regulatory

• Support the preparation, review and submission of regulatory returns, notifications, filings, responses and correspondence through relevant DFSA systems and portals, including the DFSA ePortal and other reporting channels used by the Firm.
• Assist in the execution of the Compliance Monitoring Plan, including sample testing, thematic reviews, documentation of findings, preparation of working papers and tracking of remediation actions.
• Prepare compliance MI, committee papers, Board reporting packs and governance updates for review by senior management.
• Support internal and external audits, regulatory inspections, supervisory visits and thematic reviews, including collation of evidence, response drafting and action tracking.
• Assist in identifying, documenting, investigating and escalating compliance breaches, control failures and regulatory incidents.
• Support the enhancement and maintenance of compliance manuals, procedures, registers and internal guidance documents to ensure they remain current, practical and appropriately approved.

What We’re Looking For

• University degree in Law, Finance or a related discipline.
• AML, compliance or financial crime qualification or certification preferred.
• 5+ years of experience in AML, financial crime, or compliance within a regulated financial services firm, preferably in CFDs, brokerage or asset management.
• Familiarity with DFSA, FSRA, or similar regulatory frameworks is preferred.

What We Offer

• Opportunity to work in a dynamic, international FinTech environment
• Exposure to global financial markets and regulatory frameworks
• Professional development and continuous learning opportunities
• Collaborative culture with high-performing teams

Why Join Us?