Enforcement Manager

4 weeks ago


Abu Dhabi, Abu Dhabi, United Arab Emirates Abu Dhabi Global Market (ADGM) Full time

Job Title: Enforcement Manager

About the Role:

The Abu Dhabi Global Market (ADGM) is seeking a highly skilled Enforcement Manager to join its Monitoring & Enforcement Division. As a key member of the team, you will be responsible for carrying out the enforcement aspect of ADGM's commercial legislation, including assessing and investigating suspected contraventions.

Key Responsibilities:

  • Carry out the enforcement aspect of ADGM's commercial legislation, including assessing and investigating suspected contraventions.

  • Recommend and support the implementation of disciplinary actions and sanctions in order to denounce contraventions, deter future misconduct, and protect the reputation of ADGM.

  • Manage the effective delivery of the RA's enforcement strategy in accordance with the yearly operational plan and support the Section Head, Enforcement in the ongoing development of Enforcement's strategy and operational plans.

  • Take a lead role in all Enforcement activities and initiatives related to addressing and reducing contraventions of ADGM commercial legislation.

  • Plan and lead investigative interviews and draft investigative document requests to best ensure that all required information is gathered to support fair, objective decision making and recommendations following a thorough analysis.

  • Help the Section Head, Enforcement ensure that Enforcement's investigations and RA decisions are made in accordance with natural justice and completed in a timely fashion.

  • Oversee the collection, organization, preservation, and, as required, disclosure of all documentary evidence and testimony, while maintaining the necessary confidentiality protections.

  • Monitor all Enforcement timelines to ensure compliance, anticipate next steps, and deliver on deadlines.

  • Submit appropriate and timely assessments and reports to the Section Head, Enforcement and Executive Director, M&E.

  • Lead and ensure the continuation of Enforcement work in the absence of the Section Head, Enforcement.

  • Work closely with the Monitoring Section and other RA Divisions.

  • Work closely with the Financial Services Regulatory Authority on joint investigations and matters involving financial firms.

  • Support the design and delivery of new and ongoing M&E initiatives, particularly those related to reducing contraventions and encouraging compliance.

  • Where required by the Section Head, Enforcement, assist in managing relationships with external stakeholders, including other regulatory authorities and any other relevant stakeholders.

  • Monitor and seek to improve the internal processes and procedures of M&E.

  • Work closely with Legal & Policy in the conduct of civil and administrative proceedings.

Requirements:

A Bachelor degree in a legal, financial, or business discipline. A minimum 6 years' post graduate experience in law enforcement, forensic accounting, compliance, or financial regulation, with a focus on investigations and/or prosecutions, part of that experience working in AML. Understanding of the public interest role of regulatory bodies. Knowledge and development of regulatory policies and frameworks. Ability to oversee and proactively manage large and complex matters. Ability to help plan and conduct interviews and prepare investigative document requests. Drafting submissions, reports, and/or recommendations for presentation to administrative or adjudicative decision makers. Strong analytical, problem-solving, and interpersonal skills, including management of direct reports. Ability to make sound decisions, based on good judgment, analysis, and documented evidence. Ability to manage stakeholder relationships both internally and externally. Have demonstrated an excellent attention to detail. Fully fluent in business English.


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