AVP, Compliance - Global Corporate Finance (Emiratization)

Job Purpose

Strategic Contribution

• Support implementation of the Bank’s Compliance strategy within the IB&M teams.
• Advisory and Administration
• Providing Compliance advice and guidance to relevant stakeholders.
• Support the Head of Compliance – Global Markets, GCF and Head of Surveillance to deliver the wider Compliance strategy, including Annual Compliance Plan, Compliance Risk Assessment, regulatory developments, regulatory engagement, and issue management.
• Lead Compliance involvement in the product review process, new business initiatives, cross border activities and financial promotions.
• Timely and diligent management of requests and queries received by the business.
• Coordinate with Regulatory Compliance (RC) and Financial Crime Compliance (FCC) functions to provide recommendations on compliance risks as and when needed.
• Support in the administration and response of external requests received from clients and counterparties.
• Developing and strengthening relationships to promote best practice and ensure a good understanding of Compliance requirements across IB&M. Deliver effective training and provide updates to IB&M businesses on compliance requirements, best practices, market news, international regulations, hot topics and regulatory changes.
• Provide support for Compliance surveillance activities where required.

Continuous Improvement

• Proactively identify opportunities for continuous improvements related to the systems, controls, processes and practices based on risks and control deficiencies identified.
• Undertake training as directed and required.

Reporting

• Prepare MI related to the business areas for internal and, where required, external reports.

Minimum Qualifications

• Bachelor’s degree or higher in a field with demonstrable transferability to the role.
• Certification in Compliance preferred.

Minimum Experience

• Minimum of five years’ experience with a bank or financial institution.
• Experience in a Compliance Advisory role, preferably in providing support to Corporate Finance or Investment Banking.
• Strong understanding of UAE rules and regulations.
• Excellent understanding of key Compliance risks and controls.
• Team player capable of meeting tight deadlines and managing challenging workloads.
• Excellent analytical skills and ability to support decisions with sound reasoning.
• Excellent communication skills, including delivering to Senior Management.
• Focused on driving tasks to completion at pace, whilst retaining a high level of attention to detail and accuracy.