Business Compliance Advisory Manager United Arab Emirates Posted on 10/31/2023 Trending
2 weeks ago
Role: Business Compliance Advisory Manager
Department: GCD
Location: ADIB UAE
ROLE PURPOSE: To provide business compliance advisory support to specific business segments, areas under coverage. Provide clear, constructive and customer cognizant guidance advice and support in implementation of regulatory requirements and expectations, while ensuring that the bank is compliant with applicable rules, regulations and standards. To provide compliance advisory support on regulatory compliance advisory matters including implementation, roll out, training and assurance of ADIB’s policies and products.
Following are the Key Responsibilities:
- Ensure that complete, accurate, practical and timely advice, interpretation and guidance is provided to ADIB businesses, functions and units in relation to relevant regulatory rules, regulations and standards
- Support, drive and enhance the regulatory framework, including review of all relevant policies where Compliance sign-off is required and ensure conduct and consumer protection principles are at the forefront of review and compliance advisory
- Develop, lead, drive the production of BCA policies and procedures through subject matter expert input and review
- Ensure the identification of new and emerging risks from business and regulatory developments, including assessing their impact on the business and the bank in the core areas of regulatory risk responsibilities
- Maintain and support regulatory relationships with relevant regulators including, the Central Bank of the UAE (“CBUAE”) and Securities and Commodity (“SCA”), particularly in relation to procuring required approvals for new products and/or services, conduct of business, clarifications for interpretation sought
- Ensure that products/services applications are compliant with regulatory authority requirements/conditions prior to submission to Regulatory Authority; and ensure product programs and products/services policies are reviewed from perspective of ensuring compliance with applicable rules and regulations
- Act as the point of contact and compliance partner with all relevant business and function units to provide business compliance advisory, covering regulations and policies
- Ensure new and existing Business Compliance policies and procedures meet a standard of excellence and ensure consistency across ADIB units.
- Evaluate the effectiveness of existing Business Compliance policies and procedures, initiate enhancements as identified.
- Develop written Business Compliance policies and procedures, updates and ensure effective training and communication to Business and Function Units
- Develop and conduct in-house training programs on relevant regulations to promote Compliance awareness among ADIB staff.
- Develop and ensure effective and appropriate Management Information for regulatory risk management areas, ensuring timely provision and update to senior management and governance forums
- Any other special task/assignment assigned by the Head of Business Compliance
Specialist Skills / Technical Knowledge, Technical Competencies Required for this role:
- Strong knowledge of the UAE (primarily CBUAE and SCA) and International Banking rules and regulations in relation to advisory, risk management, in particular conduct and consumer protection
- Having strong knowledge and experience of banking products and services. Expertise in the areas of private banking, wealth management, capital markets, treasury, corporate banking, digital banking and payment services is an advantage
- Strong knowledge and practical experience with application of international compliance policies, procedures, standards and best practices in the area of regulatory compliance
- Islamic Banking experience and knowledge is preferred
- Strong interpersonal skills with the ability to communicate with impact, build healthy professional connections, influence outcomes, simplify complex topics into actionable recommendations for decision-making
- Track record of providing timely, accurate, practical compliance advisory support
- University degree and compliance qualifications
- Preferred professional certificates include ICA Certificate in Regulatory and Business Compliance, CISI Compliance and Risk professional qualifications, certification in Capital Markets & Corporate Finance; Wealth Management professional qualifications
Previous experience: 10 years banking experience with exposure to regulatory compliance and advisory, some of which should be with international banks (preferred)
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