Senior Compliance Analyst

Role purpose

Compliance advisory and oversight

• Provide practical advice on the DFSA Rulebook, including GEN, COB, and AML modules; identify and escalate breaches, control weaknesses, and regulatory risks.
• Maintain compliance registers; review new products, services, counterparties, and business initiatives; liaise with UK Head Office and global Compliance teams.
• Deputise for the CO/MLRO within agreed authority, guide the AML/KYC Associate, and conduct quality assurance on onboarding and screening files.
• Contribute to the risk-based monitoring programme, conduct control testing, document findings, and track remediation.
• Oversee client classification and periodically review client money and asset arrangements and controls where applicable.

Reporting and regulatory change

• Prepare DFSA returns, notifications, and submissions for CO/MLRO review; maintain the regulatory calendar and records.
• Prepare monthly and quarterly management information and reports; coordinate responses to supervisory requests, risk assessments, visits, and audits.
• Monitor DFSA publications, assess impacts, and draft or maintain compliance policies, procedures, and the compliance manual.

Promotions, complaints, and training

• Review and approve routine promotions, website content, social media, and client communications within delegated authority; check disclosures and maintain approval records.
• Manage complaints investigation, documentation, and resolution; maintain the register and identify recurring causes and improvements.
• Deliver compliance and AML induction and refresher training, maintain records, and prepare staff updates and briefings.

Experience and qualifications

• Approximately 3–5 years of compliance experience at a firm regulated by the DFSA, FSRA, SCA, or FCA.
• Requires working knowledge of applicable regulatory rules, compliance monitoring and testing, regulatory returns, financial promotions, and AML/CFT and sanctions requirements.
• Requires strong communication, independent working, priority management, sound judgement, and professional integrity.
• A degree in law, finance, business, economics, or a related subject, or equivalent professional experience, is required.
• Desirable: direct DFSA experience, financial services experience, compliance or AML qualification, Licensed Function approval, or experience supervising or guiding junior staff.