Head of Compliance – MENA
- Deliver ongoing compliance support to business groups including the provision of advice on the application of global compliance policies, exchange rules and regulations.
- Maintain regular ongoing daily engagement with the relevant business groups including regular documented Business catch ups with key business stakeholders.
- Reviewing and advising on specific BAU transactions to include advice to business on the application of global compliance policies, exchange rules and regulations.
- Identifying regulatory or reputational risks and escalating to management for resolution.
- Deliver timely compliance review and approval of new Business specific initiatives such as new transaction structures, new jurisdictions, new systems, etc and complete (where relevant) Business Change Approval compliance assessments.
- Ensure the timely identification of regulatory change affecting the businesses groups ensuring appropriate collaboration across all relevant Support Functions and the Business and assisting the Business with implementing the new regulation in a robust and controlled manner.
- Act as the Compliance lead on specific listed derivative exchange related enquiries and manage, investigate, and draft responses to such exchange regulatory enquiries, including exchange audit programmes.
- Working with Legal, Compliance colleagues and other support function staff across the region and in the other regions to advise on and to address any cross-jurisdictional compliance matters.
- Providing SME support to Compliance Assurance colleagues by participating in the annual Compliance Risk Assessment process, and execution of assurance activities as they relate to the business groups.
- Designing, driving, and delivering specific desk based thematic reviews.
- Acting as a challenge and control function to the Business on compliance related matters including the Business owned Risk & Control Assessment
- Participating in the development and delivery of annual regulatory training plan for the Business as well as ad hoc trainings, as needed.
- Providing Compliance input to control and regulatory incidents, Internal audits, and reviews within the Business.
- Performing the Compliance review of product/service-related materials such as marketing materials, presentations and product brochures are in line with regulatory requirements.
Standard company responsibilities
- Ensuring compliance with the company’s regulatory requirements under the DFSA.
- Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
- Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
- At all times complying with the DFSA’s Code of Conduct.
- To ensure that you are fully aware of and adhere to internal policies that relate to you, your role, or any other activities for which you have any level of responsibility.
- To report any breaches of policy to Compliance and/ or your supervisor as required.
- To escalate risk events immediately.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.