GulfBankers Executive Search

Compliance Manager

Location: Dubai, United Arab Emirates
Posted On: 16 days, 18 hours ago

Job Specification

  1. Number of Vacancies: 1
  2. Expiry Date: 2017-12-01
  3. Job Type: Full Time
  1. Experience: 5 to 10 years
  2. Functional Area:
  3. Job Code: JB1039817

Job Description

    • Participate in the production, documentation and approval of the annual Compliance Plan which identifies the principal compliance risks and action plans in the concerned business lines / divisions.
    • Communicate new or changed rules, compliance policies, procedures, information and requirements to employees.
    • Provide appropriate consultations and guidance to employees on compliance questions, issues and queries.
    • Provide information to Head Of Compliance and the senior management as needed regarding the state of compliance in the concerned business units.
    • Coordinate the implementation of compliance grids ensuring that the responsibilities are clear and that adequate control procedures are in place for all applicable laws 
    • Monitor employee trading transactions in the investment accounts of the relevant staff for insider trading' and develop / implement monitoring and surveillance risk controls as needed. 
    • Liaise with the business units concerned for appropriate and timely answers to queries received from the regulators. 
    • To provide Compliance training in line with the Business Assessments of need. 
    • Assist Compliance Head in day to day compliance activities.
    Skills and Qualifications:
    • Bachelors Degree in Finance or Accounting
    • 5-10 years banking work experience 
    • Handling of Compliance / AML Queries
    • Knowledge in Excel / Word / PowerPoint
    • System Reports
    • Problem Resolution Skills
    • Peer collaboration and Interpersonal Effectiveness
    • Building Teams & Supporting Teamwork
    • Drive for Results & Action Orientation