Senior Compliance Officer (Dubai)

Dubai, United Arab Emirates | Posted on 27 / 08 / 2025

Freight Investor Services (FIS) is a leading global brokerage of freight and commodities. We are the world’s largest broker on dry freight futures, and have a strong presence across the bulk commodities, metals, and energy markets. We were the first brokerage to trade in the cleared market on iron ore and later coking coal futures, we also maintain a strong position in broking steel futures on all exchanges, as well as fuel oil, base metals, fertilisers, and tanker freight. We are proud of our innovative ethos, having been first mover on a number of products, most recently on the cobalt and air freight futures markets. Not only do we provide excellent brokerage services, but also data services via our App, FIS Live, other data services, as well as education to help those entering new markets.

We have expanded via our network of trading associates and branch offices to offer coverage of derivative and physical shipping markets in London, New York, Houston, Dubai, Mumbai, Athens, Copenhagen, Geneva, Singapore and Shanghai. Through our global network, FIS offers full brokerage services, trade execution and in-depth market intelligence and data for freight and commodities, as well as providing physical ship and cargo services. Our expertise in managing credit and counterparty risk provides a vital competitive advantage while enabling clients to trade with confidence.

Job Description

Key Responsibilities :

• Assist in Communications Surveillance of office staff, escalating all related issues with the Head of Compliance;
• Assist in completing daily transaction monitoring reviews against market abuse, escalating all related issues to protect the business;
• Conduct regular trade reviews and reconstructions, escalating all related issues to the Head of Compliance;
• Collaborate with different company departments to monitor enforcement of standards and regulations;
• Assist in preparing reports / requests for senior management and external regulatory bodies as appropriate;
• Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client;
• Communicate efficiently with the respective client and / or broker to gather all necessary information;
• Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries;
• Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies;
• Provide regular, timely progress updates to both the Compliance Manager and Brokers, in both written and verbal formats;
• Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding;
• Perform AML / KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm’s AML & KYC requirements are met;
• Identify, review and disposition of all PEP’s, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm;
• Classify clients from a risk and regulatory perspective;
• Investigate and escalate all suspicious activity and financial crime (AML & Fraud) related issues with relevant proposals to protect the business;
• Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding;
• Review onboarding accounts as required;
• Effectively manage KYC inbox; ensuring all emails are responded to;
• Ensure that all queries are answered promptly and in full;
• Ensure that all processes are followed, and trackers are updated accurately;
• Maintain PAD, Conflicts of Interest, PEP, Sanctions and adverse media lists and Compliance Register;
• Work on special projects and assists with ad hoc projects as required;
• Monitor any material changes that may impact the risk status of client files;
• Perform any other reasonable duties the company may require

Requirements

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