Compliance Manager – Financial Markets Division recruitment
This role aims to enhance the risk and compliance monitoring function through an integrated business approach. The function ensures adherence to internal and external policies and procedures facilitated by close monitoring to allow faster and more efficient mitigation and escalation of any breaches by traders and FMD sales team
The incumbent will be required to interact heavily with the following divisions:
- Financial Markets front office
- Financial Markets middle office
- Wholesale Operations Centre (WOC)
- Compliance
- Risk Management Division (RMD)
This role will report directly to the Head of Financial Markets Division Risk Compliance with a dotted report to Head of group Compliance
- Tasks to include but not limited to:
- Develop, design, communicate and implement Dealer Manual
- Develop, design, communicate and implement Authorized Dealer List
- Maintain, enhance and communicate Approved Product List
- Implement and maintain Authorized Broker List
- Monitor all dealing and booking system authorizations
The Candidate
The ideal candidate will have the following experience/qualifications:
- Minimum of 5 years in financial markets either front or supporting functions
- Good knowledge of SCA, ADX and DFM regulatory requirements
- Good knowledge on Fixed income, Forex, treasury and financial markets related to their application in the compliance arena
- Minimum of a Bachelors degree from a recognized university
- Working knowledge of internal auditing principles and compliance procedures
- Degree in Financial Regulation and Compliance Management are considered a bonus
January 1, 2012
• Tags: Compliance, Compliance Manager – Financial Markets Division recruitment, Legal careers in the UAE • Posted in: Financial