Brokerage Compliance Analyst: AML & Sanctions Monitoring

EFG Holding; Dubai; On-site; AED 89,000 - 156,000; Full time

Job summary

EFG Holding in Dubai is seeking a Compliance/Monitoring Analyst to assist in monitoring trading activities within the Brokerage division, ensuring adherence to local and international rules, AML and Sanctions programs, and internal policies.

You will review KYC/AML documents, monitor orders for market compliance, conduct sanctions screening, generate regular reports, address client complaints, and help maintain group AML/CTF training and inquiries.

Qualifications

• 0–2 years of experience in compliance in a financial institution.
• Knowledge of the industry standards and regulations is a plus.
• Excellent analytical and critical thinking skills.
• Good Microsoft Office skills (Word, Excel and Power point).
• Excellent communication skills (written, verbal and listening).
• Able to build partnerships and work well in teams.
• Can identify problems and refer/escalate complex issues to a higher level.
• Detail oriented; ensure deliverables are always of a high quality.
• Able to work under pressure.

Responsibilities

• Review KYC/AML documents for new clients. Ensure their documentation is complete and activate accounts on the brokerage system.
• Monitor all trading orders to ensure they are taken according to the market rules, and review errors and breaches.
• Conduct AML checks including but not limited to initial and ongoing sanctions and adverse media screening against the relevant sanctions lists (local and international) for all customers.
• Monitor customers’ transactional behavior to ensure early detection of suspicious or unusual activity.
• Provide reports to the relevant parties on a regular basis to ensure adherence to the Compliance Monitoring Program as well as the AML and Sanctions Programs.
• Handle clients’ complaints and escalate to higher levels, if needed, for further action.
• Ensure compliance with all applicable AML/CTF rules and regulations as required in the conduct of your role.
• Ensure timely completion of all relevant AML/CTF training provided by the Group.
• Ensure response to AML, CTF & sanctions inquiries in a timely manner.

Skills

KYC/AML

Analytical thinking

MS Office

Communication

Teamwork

Problem solving

Attention to detail

Under pressure

Job description

Assist in monitoring the trading activities of the Brokerage division and its employees to ensure adherence to the relevant local and international rules and regulations, AML and Sanctions programs and EFG Polices (PEP Policy, Sanctions Policy, AML Group and Segment Policy, Staff Dealing Policy, etc.).

Responsibilities

• Review KYC/AML documents for new clients. Ensure their documentation is complete and activate accounts on the brokerage system.
• Monitor all trading orders to ensure they are taken according to the market rules, and review errors and breaches.
• Conduct AML checks including but not limited to initial and ongoing sanctions and adverse media screening against the relevant sanctions lists (local and international) for all customers. Monitor customers’ transactional behavior to ensure early detection of suspicious or unusual activity.
• Provide reports to the relevant parties on a regular basis to ensure adherence to the Compliance Monitoring Program as well as the AML and Sanctions Programs.
• Handle clients’ complaints and escalate to higher levels, if needed, for further action.
• Ensure compliance with all applicable AML/CTF rules and regulations as required in the conduct of your role.
• Ensure timely completion of all relevant AML/CTF training provided by the Group.
• Ensure response to AML, CTF & sanctions inquiries in a timely manner.

Job requirements

• 0 – 2 years’ experience in compliance in a financial institution.
• Knowledge of the industry’s standards and regulations is a plus.
• Excellent analytical and critical thinking skills.
• Good Microsoft Office skills (Word, Excel and Power point).
• Excellent communication skills (written, verbal and listening).
• Able to build partnerships and work well in teams.
• Can identify problems and refer/escalate complex issues to a higher level.
• Detail oriented; ensure deliverables are always of a high quality.
• Able to work under pressure.
• Multi-tasker, with the ability to meet changing deadlines, and to prioritize and handle multiple projects.
• Self-motivated and maintains a positive attitude.

“Thank you for your interest in applying to EFG Holding. Due to the high volume of applications/interest, please note that we are only able to respond directly to applicants that are shortlisted for interviews.”