Specialist - Regulatory Compliance

Found in: beBee S AE - 2 weeks ago


abudhabi, United Arab Emirates ADCB Abu Dhabi Commercial Bank Full time

Accountabilities: 


1. Regulatory and Compliance Advisory: Review, assess, advise on and obtain approval for all new and amendments to products services and business initiatives to ensure compliance risks are identified and appropriately mitigated Review, advise on and obtain approval on bank wide policies and procedures and client facing forms to ensure in line with regulatory requirements Conduct gap analysis on new/amended laws and regulations, interpret results, map the regulation to respective business units and release necessary communication; implement all new/amended regulations
across the Bank, its subsidiaries and Branches to ensure compliance with regulatory requirements Provide compliance advisory services for all ad-hoc requests and support/guidance on internal projects to ensure any compliance risks are identified and
mitigated/addressed Maintain the regulatory breach register and decide on materiality of issues to be reported to regulators,
maintain the Regulatory Matrix and ensure it is kept updated with latest regulation in order to run the compliance monitoring plan and the compliance self certification


2. Conduct Compliance: Administer the insider trading programme, including insiders list across the group, update records with Abu Dhabi Security Exchange (ADX) and manage blackout periods, to ensure compliance with SCA and ADX regulations Manage and administer other conduct compliance programmes (Whistleblowing, conflict of interest, Chinese walls etc.) and the Bank’s ABC programme to ensure they are managed effectively to mitigate conduct risk and accurate records are kept Contribute to/support the design and delivery of bank wide training in relation to conduct compliance and other regulatory implementations in order to advise and educate Bank employees and ensure fully compliant


3. Policies, Processes,Systems and Procedures: Adhere to all relevant organisational and departmental policies, processes, standard operating procedures and instructions so that work is carried out to the required standard and in a consistent manner while delivering the required standard of service to customers and
stakeholders


4. Self-Management: Manage self in line with the bank’s people management policies, procedures, processes and practices to ensure adherence and to maximise own contribution to business
performance


5. Customer Service: Demonstrate Our Promise and apply the ADCB Service Standards to deliver the bank’s required levels of service in all internal and external customer interactions

Skills

Minimum Experience: At least 7 years of experience in banking/financial services sector with at least 5 years in the compliance environment
Minimum Qualifications: Bachelor’s Degree in relevant specialization
Professional Qualifications: 


Knowledge and Skills: Knowledge of banking rules and regulations of UAE Knowledge of industry and global best practice


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