Compliance

• Conduct compliance testing and monitoring reviews to ensure adherence to DFSA/ CMA rules, internal policies, and regulatory obligations
• Answer or coordinate the responses to queries from the business to resolve compliance related issues ensuring license activities comply with the DFSA/ CMA Conduct of Business (COBs) rules
• Ensuring ongoing compliance with local and international laws, including timely regulatory and audit submissions
• Assist in developing and updating internal policies that reflect the DFSA / CMA regulatory environment
• Assists reviewal of Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and ongoing client monitoring in adherence to UAE AML Rules and Regulations
• Assist with the implementation of the transaction monitoring systems
• Collaborating with legal, risk, finance, operations, technology, and front-office teams to embed compliance into strategic projects
• Assist with the collation of information for internal and external disputes.
• Assist in drafting and maintaining compliance policies and procedures in accordance with DFSA and CMA regulatory requirements
• Monitor DFSA/CMA regulatory updates, consultation papers, and notices
• Conducting and managing investigations of unusual activity
• Provide day-to-day compliance guidance to internal stakeholders regarding DFSA / CMA regulatory requirements and client compliance issues
• Maintain and update regulatory registers
• Ensure compliance records are maintained in accordance with DFSA and CMA record keeping requirements including regulatory registers
• Contributing to incident, error, and breach assessments and maintaining required registers

Senior Compliance Analyst

• Support the Deputy MLRO and MLRO in the day-to-day execution of the firm’s compliance, AML/CFT, sanctions, and financial crime responsibilities
• Assist in ensuring ongoing compliance with the regulations of the CBB and the firm’s internal policies, procedures, and controls
• Conduct customer onboarding and review activities, including KYC, KYB, CDD, and EDD assessments for individual and institutional customers
• Review customer profiles, source of funds, source of wealth, ownership structures, and supporting documentation to assess customer risk and onboarding suitability
• Perform periodic, trigger-based, and event-driven customer reviews and remediation exercises to ensure customer records remain complete, accurate, and up to date
• Review customer transactions and account activity to identify unusual, suspicious, or potentially high-risk behaviour
• Conduct transaction monitoring reviews, alert investigations, and case analysis, including documenting findings and escalating concerns where appropriate
• Investigate unusual activity, analyse transactional patterns and customer behaviour, and support the preparation and escalation of suspicious activity matters for consideration of STR filing
• Assist in the preparation of internal suspicious activity referrals, STR-related documentation, and supporting case records, in accordance with internal procedures and under the direction of the Deputy MLRO and MLRO
• Perform sanctions screening, adverse media checks, and politically exposed person (PEP) reviews, and escalate potential matches or concerns in accordance with internal procedures
• Maintain and update compliance records, registers, logs, and case files, including customer due diligence records, transaction review logs, sanctions and PEP screening records, training logs, and regulatory correspondence files
• Assist in the preparation and submission of regulatory reports and returns within prescribed timelines and maintain trackers for regulatory obligations and submissions
• Support the review and implementation of relevant regulatory developments, including updates to applicable CBB requirements, and assist in reflecting such changes in internal policies, procedures, and controls
• Assist in drafting, reviewing, updating, and maintaining compliance policies, procedures, manuals, and internal controls to ensure they remain current and effective
• Support compliance monitoring activities, thematic reviews, internal control checks, and remediation tracking across the business
• Prepare internal compliance reports, management information, dashboards, and updates for senior management and governance forums, as required
• Liaise with internal stakeholders across operations, customer support, legal, risk, product, and other business functions to obtain information and support compliance reviews, investigations, and remediation actions
• Support internal audits, regulatory inspections, independent reviews, and external examinations by preparing documentation, responding to information requests, and maintaining audit-ready records
• Prepare meeting materials, maintain action trackers, record minutes where required, and follow up on outstanding compliance matters
• Provide support in training and guiding new joiners within the Compliance Department on relevant compliance procedures, workflows, and documentation standards, as required
• Provide general administrative and operational support to the Compliance Department as required
• Perform any other compliance, AML/CFT, sanctions, monitoring, investigation, or regulatory-related duties assigned by the Deputy MLRO or MLRO from time to time

Compliance Analyst

• Hold relevant regulatory roles for Citco Middle East (CME) and the Dubai Representative Office, including Compliance Officer and MLRO.
• Establish strong connections with relevant stakeholders to assist the business on compliance matters; work collaboratively to build trust and sustain relationships through situations where there may be differing views in relation to compliance deliverables.
• Create, implement, and maintain risk-based compliance plans aligned to regulatory requirements and business objectives; provide metrics and data (as required) to aid understanding of root causes and support effective decision-making.
• Proactively engage with others to change attitudes and behaviours in respect of compliance matters through active listening, empathy, and effective negotiation.
• Identify, assess, and manage compliance risks relating to the entities’ activities; support the embedding of risk management practices and risk culture across stakeholders.
• Participate in compliance monitoring activities; perform monitoring reviews and report outcomes in accordance with annual monitoring plans and the Citco Compliance Monitoring Policy.
• Provide advice and support to staff on compliance-related matters including AML and KYC, data protection and confidentiality, outsourcing organisation, and corporate governance.
• Maintain an understanding of regulatory developments impacting the country and, where required, provide assistance/coordination/oversight of impact assessments and implementation plans.
• Analyse reporting of suspicions concerning transactions and activities and report/escalate as appropriate (including MLRO obligations).
• Assist with drafting, maintaining, and regularly reviewing compliance policies, ensuring clarity and practical application.
• Draft compliance reports for the Board of Directors of Citco Middle East; attend and contribute to Board and Committee meetings, articulating compliance risks and recommendations.
• Participate in communications with regulators (including ADGM FSRA and, as applicable, Dubai regulators), ensuring transparent and effective engagement.
• Act as a role model for a learning culture by encouraging two-way feedback and actively sharing expertise; provide and/or arrange training on compliance policies and regulatory changes.
• Assist in the governance of the outsourcing framework and outsourcing oversight, supporting appropriate controls and accountability.
• Actively participate in the Compliance Forum and develop the Group Compliance team through support and sharing of expertise.
• Support the Regional Compliance Officer in regional and group-wide compliance initiatives.
• As required, support compliance officers in other regions with their core deliverables.
• Proactively implement team-level goals and make improvement suggestions to support the growth of the Group Compliance team.
• Escalate and report relevant matters to the Regional Compliance Officer.
• Travel as required to fulfil the responsibilities of the role.
• Undertake any other relevant responsibilities that may arise or be assigned by the Regional Compliance Officer, demonstrating flexibility and accountability.

VP Compliance

• Act as the designated Money Laundering Reporting Officer
• Act as the primary point of contact for the Central Bank of the UAE (CBUAE), DFSA, and law enforcement agencies
• Develop, implement, and monitor comprehensive compliance policies, procedures, and internal controls to meet UAE regulatory standards
• Identify, assess, and mitigate compliance and financial crime risks
• Provide expert guidance to senior management and staff on regulatory matters
• Oversee KYC, EDD, transaction monitoring, and sanction screening
• Provide regular reports to Senior Management/Board on AML risks and the efficacy of controls

Senior Manager – Regulatory Compliance, MLRO

• Establish and lead a “compliance-by-design” framework that keeps Alpaca’s twin ADGM licences, Category 3A and 3B, in pristine regulatory standing.
• Chair the internal Compliance Committee and deliver quarterly reports to the Board.
• Keep a live register of all FSRA rules and update policies.
• Own the AML/CFT programme, conduct annual business-risk assessments.
• Maintain the Accepted Virtual Asset list, oversee blockchain-analytics, and ensure compliance with FSRA requirements.
• Run a risk-based monitoring plan, complete thematic reviews, and store evidence for inspections.
• Specify and integrate KYC/AML engines and trade-surveillance tools.
• File all periodic and ad-hoc FSRA returns on time; act as single point of contact for enforcement queries.
• Deliver annual AML and rules refreshers; maintain logs for 6 years.
• Maintain the breach register and oversee remediation.

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