chief compliance officer

6 days ago

Dubai, Dubai, United Arab Emirates Bank of Baroda Full time
  • Ensure compliance with the guidelines issued by the Central Bank of the UAE (CBUAE), the Reserve Bank of India (RBI), and the Corporate Office with respect to AML/KYC and regulatory requirements.
  • Monitor the conduct of business to promptly identify and address any breaches of regulatory or internal compliance requirements.
  • Liaise with relevant regulatory and statutory authorities (including the CBUAE and FIU) and represent the territory on compliance and AML matters.
  • Investigate suspicious transactions and, where required, file Suspicious Transaction Reports (STRs) with the local authorities within the prescribed timelines.
  • Submit the monthly Compliance Certificate to the Group Chief Compliance Officer at the Corporate Office, reflecting the factual status of KYC/AML/OFAC compliance in the territory.
  • Act as the nodal officer for preparing analytical data on AML and regulatory compliance issues for senior management, and exercise adequate oversight.
  • Ensure that transaction monitoring alerts are cleared on a daily basis, and verify at least 5% of alerts on a random basis.
  • Periodically review transaction monitoring scenarios to assess the effectiveness of the system.
  • Conduct Compliance Quality Assurance Tests, prepare reports, and develop action plans with timelines to address identified gaps.
  • Establish and maintain compliance and AML policies to be followed by all employees in the territory.
  • Review and update KYC, AML, and other compliance policies periodically to reflect local laws and regulatory updates.
  • Ensure that records are maintained in accordance with compliance and AML policies.
  • Ensure that existing and proposed data processing and information systems support compliance requirements, and assist in their continuous review.
  • Organize and oversee training programs in coordination with the HR Department to ensure employees are aware of and understand their compliance and AML responsibilities.
  • Coordinate with the Corporate Office compliance team in India
Desired Candidate Profile
  • 8 years of banking experience with at least 3 years experience in Compliance Function of Bank/Financial Institution in Senior / Middle Management.
  • Experience in sourcing, training and developing talent
  • Knowledge of Banking Operations.
  • He/ She should be fully conversant with FATF/OFAC/EU standard and other International Laws which govern cross border transactions.
  • Experience in managing compliance function at banks operating in UAE
  • Superior problem – solving and analytical abilities
  • Capability to take an innovative approach to developing solutions
  • In-depth knowledge of India / UAE market for corporate & institutional financial services
  • Sound knowledge of international banking law / practice and products / services particularly relating to India & UAE.
  • Outstanding interpersonal, communication and presentation skills
  • Innovation and creativity
  • Strong analytical and problem-solving skills
  • Bachelor's Degree and/or Master's Degree from a recognized Board/ University. Candidates having CA/CS/ICWA qualifications will be given preference.
  • Candidate should have secured CAMS Certification. Relaxation may be given to exceptional candidates who have proven track record of work experience in Compliance Functions Transaction/ alerts monitoring.
  • Knowledge in Arabic Language would be an added advantage
  • Candidate should be capable of acting as Convener of various committee meetings, ensuring effective communication at committee level.
  • The selected candidate will also handle other responsibilities as assigned by the Bank from time to time.

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