The job holder is expected to handle the below responsibilities:
- Assist the line Manager in preparing SOPs, policies and processes for the investment Banking arm of Emirates NBD
- Review any amendments prior to update of process / procedure from a Governance Standpoint and recommend corrective and control points if required.
- Oversight of the risk and controls and ensure strict compliance.
- Support the Senior Manager to monitor, track and report on external / internal audits pertaining to the Unit and ensure corrective action is taken to meet strategic and business objectives and timely closure of audit observations.
- Reviews the frequency of internal and external audits and how any issues that those audits raised have been handled.
- Assist Line Manager in implementing Audit recommendations.
- Assist in preparing Board files.
- Policies and procedures for reconciling conflicts of interest (how the company approaches business decisions that might conflict with its mission statement)
- Review of vendor agreements to align with Group policies and Master Agreements
- RFIs / Surveys / Questionnaires received from the Regulator / Markets and work with business to complete them by the due date
- Keep a track of all data requests received from the Regulator ensuring they are addressed on time working closely with the Compliance team.
- Responsible of conducting the annual SCA and related markets license renewal procedures, and licenses for any new activities.
- SPOC for any issues raised during the Compliance monitoring and QA reviews.
- Any concerns of data leakage or cyber security event needs to be highlighted to Unit OPS and Compliance.
- When notified of any suspicious transactions (fraudulent) highlighted by Business or Compliance and escalate to the Head of Gov & Ops for review and further escalation as required.
- Work closely with Business and Operations to remediate any customer data/agreement related gaps / issues.
- Assist Group / Unit Compliance by working closely with Business / Operations / IT and providing the customer data / information pertaining to the regulatory and Annual FATCA/CRS submission.
- Monitor the compliance of all employees with the Employee Handling Policy, PAD, PI, Wall Crossing, Code of Conduct and any other Group Policy related concerns from a governance standpoint.
- Assist in review of processes, policies, Operational Risk Control Assessments (ORCAs,) Key Control Assessments (KCAs), Key Risk Indicators (KRIs)
- Ensure adherence to the Operational Risk framework/ policy for ENBD within C&IB (inclusive of Business Continuity and other Information Security policy / requirements)
- Conduct learning sessions and staff training pertaining to any issue/ process improvement / new regulation etc. from a governance standpoint.
- Ensure that all user access reviews for business are completed within the required timeframe.
- Ensure that all ENBD Group Mandatory Trainings are complete by all staff within the required timeframe
- NPPA’s to be raised by the Unit and monitored for closure in a timely manner
- Initiate process development/amendments as applicable with GOPS, Ops risk, Compliance teams and ensure that NPPA is signed off within the project/ planned timelines.
- Assist Line Manager for any new initiatives taken up by EmCap (pertaining to UAE / regulatory requirements or as part of overall organizational / process improvement)
- Assist Line Manager in implementing the Identified opportunities to automate and make the processes efficient to ensure that EmCap business teams are served in an efficient way.
- Liaise with various internal stakeholders such as GOPS, IT, Tanfeeth, business teams, OpRisk, Legal & Compliance to ensure that the project deliverables are met as per the timelines.
- Any other Governance related support for the line manager