Senior Manager / Head of Market Regulation recruitment

Oversee process of admitting securities for trading on NASDAQ Dubai’s market.
Ensure ongoing compliance with NASDAQ Dubai Rules.
Eligibility regulation and real-time monitoring of Issuer continuous disclosure and other obligations in NASDAQ Dubai’s Rules.
Responsibility for supervising the Market Surveillance and Compliance function.
Operate as a Senior Manager and a key member of the NASDAQ Dubai management team.

Line Management responsibility:

Key Accountabilities:

Responsible for managing the process of Admitting new securities to trade on NASDAQ Dubai’s market
Ensure that Market Supervision monitors media reports and disclosures relating to NASDAQ Dubai Issuers, and that appropriate action is taken to ensure an informed market.
Ensure that Market Supervision provides support to Issuers and the DIFC Markets community in relation to compliance with the DFSA’s Offered Securities Rules (OSRs).
Be responsible for the development, drafting and updating of rules, policies and procedures in relation to Market Supervision.
Liaise with internal NASDAQ Dubai departments and the DFSA on wider regulatory, operational and policy matters.
Supervise the day to day operations of the Surveillance function and ensure it operates effectively within the wider Regulatory functions. Contact NASDAQ Dubai members firms as need to ensure compliance with trading rules.
Review and respond to requests for trading data from DFSA, and assist with Surveillance Referrals to the DFSA.
Responsible for ensuring compliance of the exchange and its members through management and supervision of the Senior Compliance Officer.
Management and supervisory responsibility for employees outlined above including performance management.

Policies, Processes Procedures:

Ensure Issuer compliance with applicable NASDAQ Dubai Rules and Regulations.
Be responsible for the development, drafting and updating of the NASDAQ Dubai Rules.
Assist with ensuring that NASDAQ Dubai continues to meet its AML Licensing requirements.
Assist with reviewing and complying with Issuer Procedures.
Adherence to NASDAQ Dubai Employee Policies and Procedures.
Assist with Broker compliance with the applicable NASDAQ Dubai Rules.

Qualifications, Experience, Skills:

Essential

Relevant tertiary qualification in commerce, law, economics or other finance related field.
At least 5 years experience of working in a senior regulatory capacity in regional and/or international Capital markets preferably within an Exchange or Regulator.
Strong understanding of different securities and securities trading.
Strong accounting/finance knowledge, including ability to read and understand a Balance Sheet and Income Statement.
Demonstrable experience of establishing and maintaining relationships at a senior level, internal and external to the organisation.
Experience of handling conflict situations at a senior level.
Proven knowledge of exchange operations and regulation, and of implementing such regulations.
Strong computer skills (Microsoft suite).
Strong decision making and time management skills.
Experience of supervising and managing people.

Desirable

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