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Deputy Head of Compliance, MLRO
Capital.com. Act as deputy to the MLRO when required, receiving and assessing internal suspicious activity reports and helping determine whether SAR/STR obligations arise .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance and AML/CFT within regulated financial services, with a strong focus on client risk assessments, KYC reviews, and regulatory adherence. Proficient in preparing compliance reports and managing regulatory inspections while maintaining robust compliance controls.
Highest-signal resume keywords
AML/CFT ComplianceUAE Financial Services RegulationsKYC ReviewsTransaction MonitoringRegulatory Reporting
ATS Keywords
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Hard Skills
Suspicious Activity ReportingClient Risk AssessmentsCompliance Controls AssessmentRegulatory ComplianceFinancial Crime Risk AssessmentDrafting Compliance ReportsTransaction Monitoring AlertsPEP ScreeningCDD/EDD ReviewsRegulatory Inspections
Soft Skills
Analytical SkillsAttention to DetailJudgementStakeholder CoordinationCommunication Skills
Industry Keywords
SCA RegulationsCMA RegulationsFinancial CrimeCompliance MonitoringRegulatory DevelopmentsHigh-Risk Client OnboardingCompliance RegistersRisk AssessmentsAdverse Media FindingsRegulatory Obligations
About the role
Key responsibilities & impact- Act as deputy to the MLRO when required, receiving and assessing internal suspicious activity reports and helping determine whether SAR/STR obligations arise
- Maintain records relating to suspicious activity reporting and AML risk assessments
- Support AML transaction monitoring and sanctions/PEP screening controls, including alerts, adverse media hits, and suspicious activity investigations
- Assist the MLRO with regulator and law enforcement requests, inspections, audits, and financial crime reviews
- Maintain and improve AML/CFT policies, procedures, and training materials
- Support client risk assessments and CDD/EDD reviews, including high-risk clients
- Review high-risk client onboarding and periodic KYC reviews
- Provide compliance guidance on client acceptance and regulatory matters
- Support KYC remediation and control enhancement initiatives
- Monitor compliance with SCA/CMA regulations, UAE laws, and internal policies
- Review Compliance Monitoring Plan findings and ensure remediation actions are completed
- Maintain compliance registers, including breaches, conflicts of interest, and regulatory obligations
- Track relevant regulatory developments and assess business impact
- Track regulatory findings and remediation items for the Head of Compliance
- Prepare for regulatory inspections and supervisory engagement
- Prepare compliance reports and management information for senior management and the Board
- Review compliance and regulator-facing documents
- Provide general compliance support, including research, drafting, and stakeholder coordination
- Conduct risk assessments and RCSAs across the compliance and AML/CFT control environment
- Maintain and develop compliance controls, identifying gaps and recommending enhancements
- Monitor emerging regulatory, financial crime, and operational risks
- Review products and strategic initiatives for compliance and financial crime risk implications
Requirements
What you’ll need- Experience in compliance and AML/CFT within a regulated financial services business, with 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 compliance and financial crime risks of new products, business changes, and strategic initiatives
- Strong analytical and drafting skills, including preparation of risk assessments, management reports, and regulator-facing materials
- Sound judgement, attention to detail, and confidence to escalate concerns and advise stakeholders across the business
- Excellent written and verbal English communication skills
Benefits
Comp & perks- Competitive salary
- Work-life harmony
- Generous annual leave
- Employee referral program with rewards
- Medical insurance plan
- Location-specific benefits and perks
- 30 extra days to work remotely from anywhere in the world (some restrictions apply)
- Two additional paid volunteer days each year