capital.com

Deputy Head of Compliance and MLRO

Hybrid

TLDR

Assess financial crime risks across products and strategic initiatives while supporting AML/CFT controls, KYC reviews, and regulatory reporting.

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

Responsibilities:

Deputy MLRO / AML-CFT Support

Act as deputy to the MLRO when required: receive and assess internal suspicious activity reports, and help determine whether external reporting (SAR/STR) obligations arise.

Maintain appropriate records relating to suspicious activity reporting and AML risk assessments.

Support the effectiveness of AML transaction monitoring and sanctions/PEP screening controls, including review of alerts, adverse media hits, and suspicious activity investigations.

Assist the MLRO in responding to regulator and law enforcement requests relating to financial crime, including regulatory inspections, audits, and financial crime reviews.

Help maintain and improve AML/CFT policies, procedures, and training materials.

Client Risk, KYC & Due Diligence

Support client risk assessments and due diligence (CDD/EDD) reviews, including for high-risk clients.

Review high-risk client onboarding and periodic KYC reviews.

Provide compliance guidance on client acceptance and related regulatory matters.

Support KYC remediation and control enhancement initiatives.

Compliance & Regulatory Support

Monitor compliance with SCA/CMA regulations, applicable UAE laws, and internal policies, escalating gaps as they arise.

Review findings from the annual Compliance Monitoring Plan (CMP) and compliance testing, and ensure remediation actions are completed on time.

Maintain compliance registers — including breaches, conflicts of interest, and regulatory obligations — keeping them accurate and current.

Track regulatory developments relevant to CCMENA and help assess their business impact.

Support the Head of Compliance in tracking open regulatory findings and remediation items, keeping ownership and status visible.

Help prepare the business for regulatory inspections and supervisory engagement, including drafting briefing materials and supporting documentation.

Prepare compliance reports and management information for the Head of Compliance, senior management, and the Board.

Review compliance and regulator-facing documents for accuracy, consistency, and completeness ahead of Head of Compliance sign-off.

Provide general compliance support to the Head of Compliance as priorities arise, including research, drafting, and coordination across stakeholders.

Risk Assessment & Control Environment

Conduct and contribute to risk assessments and Risk & Control Self-Assessments (RCSAs) across the compliance and AML/CFT control environment.

Maintain and develop compliance controls, identifying gaps and recommending enhancements in response to emerging or changing risks.

Stay alert to emerging regulatory, financial crime, and operational risks relevant to the business, escalating concerns proactively.

Review new and existing products for compliance and financial crime risk implications, providing input into sign-off as required.

Assess strategic initiatives and business changes for compliance risk impact, ensuring appropriate controls are considered before launch.

Requirements:

Experience in compliance and AML/CFT within a regulated financial services business, with the 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 the compliance and financial crime risks of new products, business changes, and strategic initiatives.

Strong analytical and drafting skills, including the ability to prepare clear risk assessments, management reports, and regulator-facing materials.

Sound judgement, attention to detail, and the confidence to escalate concerns and advise stakeholders across the business.

Excellent written and verbal English communication skills.

What you will get in return:

• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.

• Work-Life Harmony: Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.

• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.

• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.

• Comprehensive Health Benefits: We’ve got your back with a medical insurance plan. Plus, location-specific benefits and perks!

• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!

• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.

Benefits

Health Insurance

We’ve got your back with a medical insurance plan. Plus, location-specific benefits and perks!

Work-life harmony support

Work-Life Harmony: Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.

Paid Time Off

Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Remote-Friendly

Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!

capital.com

Capital.com is an innovative trading platform designed for a global audience, offering top-rated financial products that emphasize a seamless user experience. We're committed to pushing the boundaries of technology in the trading industry, making it easy for users to access the financial markets and achieve their investment goals.

Founded: Founded 2016
Employees: 201-500 employees
Industry: Internet Software & Services
Total raised: $25M raised

Fintech

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