Head of Compliance
Posted on :
06-12-2024
Employer Active
1 Vacancy
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Job Description
- Assist with compliance monitoring within the business;
- Providing oversight of Compliance for the business and external clients in order to identify, monitor and manage regulatory risks;
- Identify and analyse business risks (provide compliance advisory on expanding existing business lines as well as for new business opportunities for the entire Group);
- Ensure fulfilment of the regulatory requirements and adherence to Company standards and the DFSA and ADGM rules and regulations
- Assess the adequacy of the Compliance Monitoring Program on a continuous basis and conduct periodic monitoring as required to confirm compliance with regulatory requirements and internal policies and procedures;
- Review the Internal Control System framework and propose new procedures and controls as deemed adequate and update of the Company’s Compliance Manual and other relevant internal policies vis-à-vis new regulations enacted by the authorities and new policies and trends, procedures and controls adopted by the Company as approved by the adequate governing bodies;
- Company and Client transactions monitoring to secure that no regulatory or ethics infringement occurs in assessing the suitability and appropriateness of a transactions, providing best execution, qualifying execution only transactions, avoiding conflicts of interest;
- Provide compliance advisory and updates on regulatory developments to the business;
- Preparation of reports to be shared with the Senior Management and Board of Directors;
- Manage regulatory matters, including relationships and correspondence with regulators, regulatory examinations, implementation of new regulations, licensing and regulatory filings;
Employment Type
Full Time
Department / Functional Area
Key Skills
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