Compliance Manager
Pepperstone, United Arab Emirates
Job Description
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 organizational culture is ever-evolving, vibrant, diverse, global, and results-focused. You’ll find our 350+ team currently across 9 locations and time zones.
The Role
As the Compliance Manager, your role will involve ensuring that appropriate frameworks and policies are in place so that the company understands and can comply with its regulatory obligations. You'll also ensure that our practices align with those policies and that regulatory risks are mitigated. You will work closely with stakeholders ensuring that compliance activities align with the global compliance strategy, company goals and commercial priorities.
The role requires someone who is willing to roll up their sleeves to deliver daily compliance activities and training whilst also being able to think strategically and proactively deliver on goals and objectives.
As ourCompliance manager, your key responsibilities include, but not limited to:
- Setting the strategy and delivery of the Compliance Management Program
- Enhancing Pepperstone’s existing regulatory compliance framework and processes including measurements, monitoring, assessments and controls
- Continuously reviewing the Compliance Monitoring Program, completion of monitoring activities and reporting on identified control issues and areas of remediation
- Managing compliance incidents and breaches including investigations, assessments and reporting
- Drafting, implementing, monitoring, and reviewing compliance policies and maintaining associated compliance register
- Leading on and handling inquiries from regulatory authorities
- Performing the role of designated MLRO with responsibility for the AML/CTF Program and implementation of associated obligations
About you
- A university degree and at least 6 years of experience in anti-money laundering (AML) and regulatory compliance within the financial services industry.
- Experience working with fintech or similar online/non-face-to-face business models, preferably in the OTC derivatives industry.
- A demonstrated commercial mindset, with the ability to thrive in a fast-paced and ever-evolving environment.
- Deep understanding of financial services and securities regulations in the UAE. Familiarity with the Securities and Commodities Authority (SCA) regulations and regulated environments is advantageous. Experience with the Dubai Financial Services Authority (DFSA) or the Abu Dhabi Global Market (ADGM) is also desirable.
- Completion of relevant regulatory exams and qualifications. SCA certification is a plus. Experience in developing and implementing compliance frameworks.
- Proficiency in various technologies, with the ability to quickly adapt to new systems and technologies.
- Strong written and verbal communication skills, with the ability to simplify and effectively convey compliance language, objectives, and outcomes to stakeholders.
- Motivated by internal drive and committed to achieving high levels of success.
- Excellent problem-solving abilities.
- Strong skills in stakeholder management and collaboration.
- Willingness to travel overseas and be available across different time zones as needed.
Nice to have
- Knowledge of financial services and AML regulations in multiple jurisdictions.
- Qualifications in regulatory compliance or risk management.
- Certifications such as the International Compliance Association (ICA), Association of Certified Anti-Money Laundering Specialists (ACAMS), or other AML qualifications.
- Proficiency in Arabic is preferred
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 amp; learning opportunities
- 3 paid volunteering days per year amp; Workplace Giving Program
- Periodic recognition and reward programs for outstanding performance and achievements
- Frequent events and celebrations
- Employee Assistance Program amp; 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