Avp- Compliance

2 weeks ago

Abu Dhabi, United Arab Emirates bankfab Full time

Full-time
- Division: Compliance
- Sub Division: Compliance - Investment Banking

**Company Description**:

- Now it’s your time to join the #1 bank in the Middle East and one of the most prestigious financial companies in the region. Shaking up the world of banking requires a lot of smarts and skill. We’re looking for the brightest and best to help us reach our goals and we’ll also help you reach yours. Your success is our success as you grow stronger in your career. Join us and leave a legacy of your own, as a pioneer in both the company and the industry.**JOB PURPOSE**:
The Monitoring and Surveillance AVP will be a team player and a core member of the Global Markets and Group Treasury (GMGT) Compliance team. The primary mandate will be to ensure that day to day Surveillance activities for **Communication** and **Trade Surveillance** which are both tactical and strategic and are executed per agreed protocol. The incumbent will play a pivotal role in overseeing, leading and enhancing automated and manual surveillance for FAB Head Office and provide support and service to various other International hubs where FAB is present.

This role will help uphold fair and orderly markets, act as an independent partner to the 1st line, oversee and support the ongoing enhancement and framework of the 2nd line of defense which will help FAB continue to endorse a solid culture of compliance.

Surveillance is a growing area within FAB so the incumbent will be expected to have entrepreneurial flare in taking Surveillance to a global best practice level.

**KEY ACCOUNTABILITIES**:
Strategic Contribution:
Global Markets at FAB are a billion dollar business and they trade the standard products and have the customer base expected by any sales and trading function in financial services. In addition, the Group Treasury team at FAB play a pivotal role in (i) issuing FAB Bonds (ii) supporting the oversight of the Emirates Interbank Offer Rate. Therefore, the AVP will review and analyze sales and trading and GT activity to identify potential breaches of market conduct, rogue activity and other forms of conduct risk.

The AVP will execute both Trade and Communication Surveillance using vendor tools such as Bloomberg, Bvault, Murex and Trading Hub.

BAU will involve reviewing daily and monthly controls and ensuring they remain fit for purpose. Alerts will be reviewed per protocol and the incumbent will be expected to have the confidence to reach out to business lines on both query and escalations.

Surveillance is currently in a transitional state, with the foundations only recently being set and implemented for strategic surveillance so the incumbent will be expected to take the surveillance to the next level by working with vendors, technology on various enhancements. Protocol documentation will need to be reviewed and updated periodically and alerts and other forms of automated oversight will need to be calibrated for optimization.

Core duties:

- Reports to the Head of GMGT Compliance
- Daily, weekly and monthly reviews of Trade and Communication Surveillance automated alerts
- Periodic reviews of tactical monitoring reports
- Escalation oversight on exceptions and alerts uncovered
- Upkeep and enhancement to alerts/exceptions/lexicons and algorithms
- Oversee and input into Management Information and other forms of reporting
- Oversight and maintenance of procedures, SOWs, SLAs and other forms of documentation
- Play a key role where required on the Compliance Monitoring Plan
- Assist GMGT Compliance colleagues to execute against their mandate from time to time
- Play a pivotal role in projects/initiatives impacting surveillance
- Partner with colleagues in international locations
- Work on solutions to risks, issues and breaches
- Synergize with vendors so that tools, modules and alerts remain fit for purpose
- Document surveillance reviews, investigations, and other activities following guidelines
- Provide advice and training where required on key surveillance themes
- Proactively look for enhancements within the surveillance framework.

**FRAMEWORKS, BOUNDARIES, & DECISION-MAKING AUTHORITY**:

- Functions within the framework and boundaries of Group policies as well as overall organizational and governance frameworks.
- Authorized to take decisions as per the approved authorization matrix.
- Group Level Role

**Qualifications**:
**Minimum Qualification**
- Bachelor’s degree or higher in management, banking, finance, preferably with certification in compliance

**Minimum Experience**
- At least 6 years within a Compliance Surveillance/Monitoring role
- Excellent worked experience of Market Abuse rules, regulations and cases
- Good understanding of automated surveillance tools and platforms
- Outstanding attention to detail
- International mind-set
- Willing to travel between Abu Dhabi and Dubai FAB offices
- Confident, organized, can lead and manage various stakeholders
- Good exposure to project and programme manage

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