Deputy Head of Compliance and MLRO

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

Responsibilities:

Deputy MLRO / AML-CFT Support

• Act as deputy to the MLRO when required: receive and assess internal suspicious activity reports, and help determine whether external reporting (SAR/STR) obligations arise.

• Maintain appropriate records relating to suspicious activity reporting and AML risk assessments.

• Support the effectiveness of AML transaction monitoring and sanctions/PEP screening controls, including review of alerts, adverse media hits, and suspicious activity investigations.

• Assist the MLRO in responding to regulator and law enforcement requests relating to financial crime, including regulatory inspections, audits, and financial crime reviews.

• Help maintain and improve AML/CFT policies, procedures, and training materials.

Client Risk, KYC & Due Diligence

• Support client risk assessments and due diligence (CDD/EDD) reviews, including for high-risk clients.

• Review high-risk client onboarding and periodic KYC reviews.

• Provide compliance guidance on client acceptance and related regulatory matters.

• Support KYC remediation and control enhancement initiatives.

Compliance & Regulatory Support

• Monitor compliance with SCA/CMA regulations, applicable UAE laws, and internal policies, escalating gaps as they arise.

• Review findings from the annual Compliance Monitoring Plan (CMP) and compliance testing, and ensure remediation actions are completed on time.

• Maintain compliance registers — including breaches, conflicts of interest, and regulatory obligations — keeping them accurate and current.

• Track regulatory developments relevant to CCMENA and help assess their business impact.

• Support the Head of Compliance in tracking open regulatory findings and remediation items, keeping ownership and status visible.

• Help prepare the business for regulatory inspections and supervisory engagement, including drafting briefing materials and supporting documentation.

• Prepare compliance reports and management information for the Head of Compliance, senior management, and the Board.

• Review compliance and regulator-facing documents for accuracy, consistency, and completeness ahead of Head of Compliance sign-off.

• Provide general compliance support to the Head of Compliance as priorities arise, including research, drafting, and coordination across stakeholders.

Risk Assessment & Control Environment

• Conduct and contribute to risk assessments and Risk & Control Self-Assessments (RCSAs) across the compliance and AML/CFT control environment.

• Maintain and develop compliance controls, identifying gaps and recommending enhancements in response to emerging or changing risks.

• Stay alert to emerging regulatory, financial crime, and operational risks relevant to the business, escalating concerns proactively.

• Review new and existing products for compliance and financial crime risk implications, providing input into sign-off as required.

• Assess strategic initiatives and business changes for compliance risk impact, ensuring appropriate controls are considered before launch.

Requirements:

• Experience in compliance and AML/CFT within a regulated financial services business, with the ability to support the MLRO and handle sensitive financial crime matters.

• Working knowledge of UAE financial services regulations, including applicable SCA/CMA requirements.

• Experience reviewing suspicious activity, transaction monitoring alerts, sanctions and PEP screening results, and adverse media findings.

• Strong understanding of client risk assessments, CDD, EDD, high-risk onboarding, and periodic KYC reviews.

• Experience assessing compliance controls, documenting findings, and tracking remediation through to completion.

• Ability to assess the compliance and financial crime risks of new products, business changes, and strategic initiatives.

• Strong analytical and drafting skills, including the ability to prepare clear risk assessments, management reports, and regulator-facing materials.

• Sound judgement, attention to detail, and the confidence to escalate concerns and advise stakeholders across the business.

• Excellent written and verbal English communication skills.