Compliance Analyst - 12 month contract

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 400+ team currently across 9 locations and a couple of time zones.
The Role
As a vital member of our dynamic Compliance team, you will have the exciting opportunity to collaborate with other professionals and support the Compliance Manager in Kenya. Your primary focus will be on ensuring the effectiveness of our Compliance framework, including the compliance monitoring plan and various projects.

In this role, you will be responsible for a diverse range of regulatory compliance activities. From updating and implementing compliance policies and procedures to delivering comprehensive compliance training, your contributions will play a crucial role in maintaining a strong compliance culture. Additionally, you will conduct monitoring and sample-checking tasks to ensure accurate compliance records and reporting.

As part of our tight-knit team, you will not only provide administrative support but also actively participate in developing shared initiatives. By doing so, you will help embed and foster a compliance-focused culture across Pepperstone’s global business.

As our Compliance Analyst your key generalist responsibilities include, but not limited to

AML/CTF

• Provide comprehensive support to the MLRO in all aspects of the AML/CTF Program
• Collaborate closely in executing the implementation of the upgraded AML/CTF transaction monitoring program and bolstering the alerts management processes
• Take on the pivotal role of being a primary point of contact, offering expert guidance and assistance to the AML Analysts
• Assist in conducting UAT and ensure continuous post-delivery monitoring to guarantee the effectiveness of the AML/CTF uplift program

Regulatory Compliance

• Proactively address and manage compliance-related issues and client complaints raised by commercial stakeholders
• Collaborate with client-facing teams to provide comprehensive training and act as a primary point of contact for any inquiries
• Support the development and review of Compliance policies and procedures
• Participate in internal and external dispute resolution processes and draft well-crafted responses to complaints
• Conduct thorough control testing activities as outlined in the Pepperstone Compliance framework Management Framework and Compliance Monitoring Plan
• Contributing to the assessment of incidents, errors, and breaches, while diligently maintaining the necessary registers
• Playing a crucial role in managing and updating various internal registers, such as gifts & entertainment, continual professional development, and conflicts of interest
• Staying ahead of the curve by keeping up with any new or evolving legislation and regulations that may affect Pepperstone's licensing and operations
• Proactively driving and implementing improvements that not only reduce risk and elevate compliance standards, but also support the growth of the business
• Assisting in the creation and delivery of impactful compliance training initiatives
• Collaborating closely with stakeholders to ensure a thorough understanding and effective management of compliance obligations

About you

• At least 2 years of experience in handling AML and compliance in the financial services industry
• Experience working with fintech or similar online/non-face-to-face business models
• Thorough understanding of UAE financial services laws and regulations
• Familiarity with financial services regulatory compliance obligations, particularly in the OTC derivatives industry
• Knowledge of compliance management frameworks
• Strong skills in analysis and problem-solving
• Excellent communication and collaboration skills
• Articulate and capable of providing well-structured, concise, thoughtful, and accurate guidance
• Proficient in writing documentation and policies
• Extraordinary attention to detail
• Ability to thrive in a fast-paced and time-critical environment
• Effective teamwork and collaboration, even with geographically dispersed teams and stakeholders

Nice to have

• Deep understanding of financial services and AML regulations across various jurisdictions
• Rigorous compliance with regulatory standards or possess relevant qualifications like ICA, ACAMS, or other AML certifications
• Fluency in Arabic is highly desirable

Why you will enjoy working with us

• Competitive salary structure including company bonus scheme
• 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
• Periodic recognition and reward programs for outstanding performance and achievements
• Frequent events and celebrations
• Employee Assistance Program & Wellbeing Initiatives

More about Pepperstone

We’re a regulated online Forex and CFD trading platform. With the scale of a global fintech and the agility of a start-up, we arm our clients with everything they need to take on the global markets with confidence. You will be part of a wider passionate and friendly team, and whilst things may not always go to plan, we learn quickly and move forward with impact. To learn even more visit Pepperstonecareers and www.linkedin.com/company/pepperstone/

We understand it’s important to do due diligence on a prospective employer, see what our team are saying on Glassdoor. We respect our team members’ experiences and will never pay to remove a negative review.

Pepperstone is an equal-opportunity employer. We are passionate about building a diverse workplace and strongly encourage applications from any background.

“We are a 2023 Circle Back Initiative Employer – we respond to every applicant”.

We will be reviewing applications as they come through, so if this is an opportunity that excites you, don't wait. Express your interest by clicking the apply button below as soon as possible.

Note to external agencies: While we appreciate the efforts of external recruitment agencies, we prefer to engage directly with applicants for this opportunity.

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Last updated on Aug 14, 2024