Head of Compliance

3 weeks ago


Dubai, United Arab Emirates Halian Full time

Responsibilities

Thefollowing is the Job Description pertaining to your employment andforms part of the Contract and should be read in conjunction withthe Contract.

Your responsibility includes toperform the following tasks to the highest standard, and is notlimited to:

  • Assist withcompliance monitoring within thebusiness;
  • Providing oversight of Compliance forthe business and external clients in order to identify, monitor andmanage regulatory risks;
  • Identify and analysebusiness risks (provide compliance advisory on expanding existingbusiness lines as well as for new business opportunities for theentire Group);
  • Ensure fulfilment of theregulatory requirements and adherence to Company standards and theDFSA and ADGM rules and regulations
  • Assess theadequacy of the Compliance Monitoring Program on a continuous basisand conduct periodic monitoring as required to confirm compliancewith regulatory requirements and internal policies andprocedures;
  • Review the Internal Control Systemframework and propose new procedures and controls as deemedadequate and update of the Company’s Compliance Manualand other relevant internal policies vis-à-vis newregulations enacted by the authorities and new policies and trends,procedures and controls adopted by the Company as approved by theadequate governing bodies;
  • Company and Clienttransactions monitoring to secure that no regulatory or ethicsinfringement occurs in assessing the suitability andappropriateness of a transactions, providing best execution,qualifying execution only transactions, avoiding conflicts ofinterest;
  • Provide compliance advisory andupdates on regulatory developments to thebusiness;
  • Preparation of reports to be sharedwith the Senior Management and Board ofDirectors;
  • Manage regulatory matters, includingrelationships and correspondence with regulators, regulatoryexaminations, implementation of new regulations, licensing andregulatory filings;
  • Work with business leadersto maintain policies and procedures supporting a culture ofintegrity, compliance and excellence and promote awareness andresponsibility through regulartraining.
  • Provide training to all staff oncompliance matters and keep them informed of any changes inpolicies, procedures, systems andcontrols;
  • Follow up on audits and inspectionsand assist in investigations;
  • Receive andrecord all complaints, undertaking initial investigation andescalate to Senior Management Committee whereappropriate;
  • Managing the investigation processarising from the key compliance systems and making the necessaryescalations to management and disclosures to the relevantauthorities;
  • Monitor all open legal issuesinvolving the Company, and legal issues affecting theindustry;
  • Ensure that the Company complies withall legal and regulatoryrequirements.

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