Senior Analyst – Quality Control

Confidential Company

Compliance Quality Control Analyst is responsible for providing independent, risk-based quality reviews of AML/CFT and financial crime processes, including KYC/CDD, Transaction Monitoring, Sanctions Screening, and STR/SAR reporting. The role ensures regulatory compliance, consistency, and effectiveness of controls, while identifying control gaps, driving remediation, and supporting CBUAE inspections, audits, and Skilled Persons Reviews.

Quality Control Framework & Governance:

Implement and maintain a Compliance QC framework covering AML/CFT, sanctions controls. Define QC methodologies, sampling approaches, review frequencies, and escalation thresholds. Ensure independence from first-line operations and adherence to the three lines of defense model.

QC Reviews & Testing:

Conduct risk-based quality reviews of: ·        KYC / CDD / EDD files ·        Transaction Monitoring alerts , trend analysis and case investigations (where applicable) ·        Sanctions and PEP screening dispositions ·        STR / SAR decisioning and reporting quality Assess completeness, accuracy, timeliness, and rationale quality against regulatory and internal standards.

Issue Identification & Escalation:

Identify control weaknesses, procedural breaches, and quality trends.

Escalate high-risk or systemic issues to MLRO / Head of Compliance.

Track repeat findings and emerging risks.

Remediation & Continuous Improvement:

Agree Management action plans (MAPs) with stakeholders and monitor closure.

Recommend process improvements, policy updates, and control enhancements.

Support enhancement of investigation templates, checklists, and SOPs.

Regulatory, Audit & SPR Support:

Support CBUAE examinations, Internal Audit, External Audit, and Skilled Persons Reviews (SPR).

Prepare QC evidence packs, review summaries, and remediation trackers.

Validate closure of audit and regulatory findings related to AML/CFT quality.

MI, Reporting & Governance Committees:

Produce QC Management Information (MI) and dashboards: ·       Error rates and severity ·       Thematic findings ·       Root cause analysis Present findings to Head of Compliance.

Training & Awareness:

Provide targeted feedback and coaching to first-line AML and Compliance teams.

Contribute to training materials and quality guidance notes.

Promote a culture of quality, accountability, and regulatory discipline.