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Legal & Compliance Operations Manager

J. Awan & Partners
Abu Dhabi, UAE
Senior
2 months ago
Operations ManagementProcess ImprovementSupply ChainLogisticsBudget ManagementStrategic Planning
Free

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Overview

  • Duties and Responsibilities/strong>
  • Review, draft, and maintain a range of commercial and operational agreements including vendor contracts, technology agreements, supplier arrangements, and standard institutional documentation, escalating complex or material matters to senior leadership or external counsel as appropriate.
  • Support the management of exchange rulebook and clearing house rulebook documentation, maintaining version control and flagging required updates.
  • Assist in the preparation and review of member agreements, participant documentation, and client-facing legal materials.
  • Coordinate and manage relationships with external legal counsel in ADGM and other relevant jurisdictions, ensuring instructions are clear, timely, and cost-effective.
  • Maintain a contracts register and manage the lifecycle of commercial agreements including renewals, amendments, and terminations.
  • Support corporate governance administration for the ADGM entity, including preparation of board resolutions, maintenance of constitutional documents, and tracking of regulatory authorisation conditions.
  • Provide legal operational support on data protection, privacy, and cybersecurity obligations under applicable ADGM law, escalating material issues to senior leadership.
  • Monitor legal and regulatory developments across ADGM and the broader GCC, summarising implications for the business and escalating material changes to the Global Head of Compliance.
  • Assist in managing any disputes, claims, or regulatory investigations that may arise, coordinating with external counsel and senior leadership as required.

Day-to-Day Compliance Operations And strong>

  • Execute and maintain compliance processes and controls across the ADGM entity in line with frameworks established by the Global Head of Compliance.
  • Monitor ongoing regulatory requirements applicable to the RIE and RCH authorisations and support timely fulfilment of obligations.
  • Maintain compliance registers, logs, and records including breach registers, conflicts registers, and regulatory correspondence.
  • Support the preparation and submission of regulatory reports and periodic filings to the FSRA, under the direction of the Global Head of Compliance.
  • Assist in coordinating regulatory examinations, inspections, and enquiries, acting as a local point of contact and liaison.
  • Track and escalate regulatory deadlines, action items, and compliance deliverables to ensure nothing falls through the gaps.

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