Compliance Officer

Overview:
Connecting clients to markets - and talent to opportunity

With 4,300 employees and over 400,000 retail and institutional clients from more than 80 offices spread across five continents, we’re a Fortune-100, Nasdaq-listed provider, connecting clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.

Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, The StoneX Group is made up of four segments that offer endless potential for progression and growth.

Compliance Officer and Money Laundering Reporting Officer (MLRO)

**Job purpose**:
As the Compliance Officer and MLRO, you will be responsible for ensuring the company's compliance with all relevant regulations and laws, and providing advice and guidance to the management team on compliance and financial crime prevention (FCP) issues.

**Responsibilities**:
Compliance Responsibilities:

- Develop and implement compliance policies and procedures in accordance with applicable laws and regulations.
- Provide guidance and advice to the management team on all compliance matters.
- Monitor and review compliance activities and report on any compliance breaches.
- Ensure that all compliance training is up-to-date and relevant.
- Conduct regular compliance risk assessments and develop strategies to mitigate identified risks.
- Develop and implement compliance monitoring and testing programs.
- Liaise with regulatory bodies and other external stakeholders on compliance matters.
- Keep up-to-date with changes to regulatory requirements and ensure that the company is compliant.
- Manage and lead the compliance function, providing guidance and support as required.
- Ensure that all compliance-related documentation is up-to-date and accurately reflects the company's compliance activities.
- Coordinate with other departments to ensure compliance activities are integrated into business processes.
- Review and approve of promo, research, marketing, social media, etc. as required.
- Support monthly communications review.
- Partnership initial and quarterly ongoing reviews (IB/money manager/LAPI).

Financial Crime Prevention Responsibilities:

- Collate information for, and respond to, surveys received by Supervisory Authorities, with oversight from the Deputy MLRO - Policy and Governance EMEA.
- Liaise with the Deputy MLRO - Policy and Governance EMEA to respond to any information requests from, and collaborate with, Supervisory Authorities as appropriate.
- File reports within the FIU system, goAML, as appropriate, including Precious Metals covered transaction reports.
- Keep up to date with financial crime related regulatory obligations and requirements, assess the impact to policies and procedures and communicate these to the Deputy MLRO - Policy and Governance EMEA.
- Assist in conducting financial crime prevention risk assessments.
- Assist the Deputy MLRO - Policy and Governance EMEA in the design and delivery of ongoing financial crime prevention training.
- Collate information for Board Reports.
- Other duties as assigned from time to time.

Qualifications:
**To land this role you will need**:

- Bachelor's degree in Law, Business Administration, or a related field. Relevant AML or Compliance qualifications (desirable).
- At least 5 years of experience in a compliance and/or financial crime prevention role, preferably in the financial services industry.
- In-depth knowledge of applicable UAE laws and regulations. Awareness of international standard setters’ frameworks and expectations.
- Excellent communication and interpersonal skills.
- Fluent written and spoken English and Arabic.
- Ability to work independently and manage multiple tasks simultaneously.
- Attention to detail and ability to work under pressure.

Permanent, full-time, hybrid #LI-Hybrid #LI-SD1