Regulatory Affairs Manager

Found in: Talent AE C2 - 1 week ago

Abu Dhabi, United Arab Emirates ADIB - Abu Dhabi Islamic Bank Full time


Role Purpose: 

The Regulatory Affairs Manager is responsible for providing Regulatory Advisory to Business unit, management of Regulatory Affairs Unit framework and support in the day-to-day management of ADIB Ethical Conduct framework.

The Regulatory Affairs Manager shall also support in maintaining a positive relationship with regulatory authorities and to ensure proactive actions for identification and supporting implementation of relevant regulations impacting ADIB including those related to ethical conduct.

Key accountabilities / responsibilities

Policies and Procedures:

  • Support in maintenance and update of Regulatory Affairs and Ethical Conduct related policies, procedures, and processes
  • Ensure the continuous monitoring and update of Regulatory Affairs and Ethical Conduct Related policies by addressing regular update to Head of Regulatory Affairs on their renewal status and market/ regulatory evolution.


Regulatory Obligation Management and Advisory 

  • Provide regulatory advisory to the Business units with technical insights into the matters involving compliance with regulatory requirement on Retail, Corporate and Wholesale banking (application and approval of compliance policies, procedures, credit/product program, financial promotions, interpretation of relevant rules and regulations…)
  • Conduct Gap Assessment review and Support in the quality review of the Regulatory Obligations Register 
  • Maintain comprehensive Regulatory Obligations Register of all regulations the Bank is exposed to across regulators and jurisdictions and monitor process for conduct regulatory gap assessments
  • Assist Business, Control, and Enablement units in obtaining any compliance exception approvals (whenever required), track, and maintain records of decisions for the relevant units. 


Regulatory Affairs

  • Ensure timely dissemination and follow-up of the gap assessment pertaining to new regulatory Notices
  • Support the maintenance of the Regulatory Affairs framework based on best practices and in line with local and international laws and regulations
  • Track progress on queries/issues received from regulators and ensure appropriate and timely allocation to respective Business Units
  • Support in the remediation of gaps identified in RCSA, internal/external audits, regulator's supervisory audits related to Regulatory Affairs.
  • Coordinate and finalize any ad-hoc gap assessment of the FATCA and CRS policies and procedures against updated regulatory requirement.
  • Support timely submission of the FATCA and CRS reporting expected by CBUAE and SCA on a yearly basis. 


Ethical Conduct Framework

  • Support in the day-to-day management of the ethical policies framework that include Gift & Entertainment, Market Abuse and Insider Dealing, Personal Account Dealing, Chinese Wall, Outside Business Interest/Activity, Conflict of Interest (business inquiries, insider list update, registers update)


Reporting and monitoring:

  • Support in the preparation of MIS reports for internal regulatory affairs reporting, in the inclusion of Management Committees
  • Support the preparation and maintenance of ADIB regulatory returns/reporting register and monitor adherence to defined due dates 
  • Ensure the continuous monitoring of the Regulatory Reporting suite applicable to Regulatory Affairs and support their template design if not provided by regulatory authorities.
  • Ensure reporting of material non-compliances/breaches in line with the prevailing policies on a timely manner
  • Proactively report and escalate to the Head of Regulatory Affairs matters that can negatively impact the Group's relationship with its local regulators or law enforcement agencies.
  • Provide MI To Head of Regulatory Affairs on the implementation status of new regulations.


Staff Ethical Behaviour 

  • Demonstrate strong adherence to ADIB Conduct Risk Pillars and Code of Ethics in terms of transparency, integrity, confidentiality, respect and collaborative workplace
  • Demonstrate strong adherence to ADIB ethical conduct framework in reporting any conflict-of-interest event or any witnessed behaviour which breaches code of ethic to the Human Resources
  • Ensure to participate to the transparency and trust culture within the bank by reporting in good faith, any concerned, misconduct or Malpractice through the Whistleblowing framework


Skills and experiences required:

  • Advanced Degree in Finance, Business, or any related subject.
  • 8+ years of regulatory compliance experience and    providing regulatory advisory to Business and Control Units 
  • 3+ years of Management of ethical conduct also desired
  • Exemplary knowledge of Islamic Banking products 
  • Ability to be independent and perform innovative thinking to solve complex problems with no established precedence while balancing risk, speed, and accuracy.
  • Exemplary knowledge of the UAE regulatory environment, regulatory structures, market conduct, market practice, and industry groups.
  • Ability to quickly acquire knowledge of new regulations, rules and their impact on business.
  • Ability to adopt a problem-solving approach and autonomous work on the dedicated task
  • 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.
  • Fluency in English (Arabic is also highly preferred)

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