Manager, Compliance Operations
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Key skills for this role
About the Role
Commercial Bank of Dubai seeks a Manager for Compliance Operations to oversee outsourced activities in India. The role involves governance, performance management, and process improvement for name screening, payment screening, and transaction monitoring.
Key Skills for This Role
Responsibilities
- Provide day to day governance and oversight of the WNS managed Compliance Operations offshore team in India, covering approximately 70 FTE across Name Screening, Payment Screening and Transaction Monitoring Level 1 alert disposition activities.
- Ensure adherence to agreed SLAs, turnaround times, productivity standards, quality benchmarks, escalation protocols and contractual obligations under the outsourced operating model.
- Oversee timely and accurate disposition of alerts, including false match / false positive closures, RFI management, escalation of unresolved or higher risk cases, and handoff to onshore Compliance teams.
- Review and challenge WNS performance through structured governance forums, daily / weekly operational reviews, ageing analysis, backlog management, exception tracking and root cause analysis.
- Establish and maintain robust MI dashboards covering volumes, capacity, productivity, ageing, quality, rework, escalations, breaches, incidents, complaints, training completion and thematic risk indicators.
- Ensure WNS activities remain fully traceable and audit ready, with clear rationale, supporting evidence, case notes, maker checker controls where applicable, and complete documentation.
- Coordinate with Financial Crime Compliance, Sanctions, AML, MLRO / DMLRO teams, Operations, Technology, Operational Risk, Internal Audit, Procurement and WNS leadership to resolve issues.
- Lead periodic process walkthroughs, quality calibration sessions, sample reviews and control testing to validate that WNS outputs comply with policy, procedure, regulatory expectations and agreed adjudication standards.
- Identify, prioritize and deliver automation, workflow digitisation, data standardization, exception reduction and process re engineering opportunities across screening and monitoring processes.
- Partner with Technology, Compliance SMEs and WNS operational excellence teams to evaluate use cases such as automated queue management, RFI workflow tracking, narrative standardization, quality analytics, robotics, AI assisted review support and enhanced MI.
- Maintain current and granular SOPs, desktop procedures, training materials, escalation matrices and governance artefacts for WNS managed Compliance Operations activities.
- Support capacity planning and workforce alignment by validating volumes, productivity assumptions, leave coverage, training needs, span of control, cross skilling opportunities and contingency arrangements.
Requirements
- Bachelor’s degree in Finance, Business Administration, Accounting, Risk Management, Law, or a related discipline.
- Professional certifications in AML/Financial Crime Compliance or Risk Management (e.g., CAMS, ICA, CFE, CRCM) are preferred.
- Minimum 5–7 years of experience within Banking Operations, Financial Crime Compliance, AML, Sanctions Screening, Transaction Monitoring, or Operational Risk functions.
- Experience in managing or governing outsourced/shared service operations, including vendor performance management, service level monitoring, and operational governance.
- Strong knowledge of AML, Sanctions, Name Screening, Payment Screening, and Transaction Monitoring processes.
- Experience in managing operational risk, control testing, audit reviews, regulatory inspections, and remediation of control gaps.
- Demonstrated experience in developing management information (MI), performance dashboards, KPI/KRI reporting, capacity planning, and service performance optimization.
- Strong people and performance management experience, including overseeing large operational teams.
Full Job Posting
Job Purpose
- The purpose of this job is to provide end to end governance, oversight and performance management of outsourced Compliance Operations activities performed by WNS in India, covering approximately 70 FTE across Name Screening, Payment Screening and Transaction Monitoring Level 1 alert disposition proc
- This entails ensuring that WNS delivers timely, accurate, risk based and auditable alert review outcomes in line with Bank policies, procedures, SLAs, regulatory expectations and agreed operating model.
Key Accountabilities
- Provide day to day governance and oversight of the WNS managed Compliance Operations offshore team in India, covering approximately 70 FTE across Name Screening, Payment Screening and Transaction Monitoring Level 1 alert disposition activities.
- Ensure adherence to agreed SLAs, turnaround times, productivity standards, quality benchmarks, escalation protocols and contractual obligations under the outsourced operating model.
- Oversee timely and accurate disposition of alerts, including false match / false positive closures, RFI management, escalation of unresolved or higher risk cases, and handoff to onshore Compliance teams in accordance with documented procedures.
- Review and challenge WNS performance through structured governance forums, daily / weekly operational reviews, ageing analysis, backlog management, exception tracking and root cause analysis.
- Establish and maintain robust MI dashboards covering volumes, capacity, productivity, ageing, quality, rework, escalations, breaches, incidents, complaints, training completion and thematic risk indicators.
- Ensure WNS activities remain fully traceable and audit ready, with clear rationale, supporting evidence, case notes, maker checker controls where applicable, and complete documentation in approved systems and repositories.
- Coordinate with Financial Crime Compliance, Sanctions, AML, MLRO / DMLRO teams, Operations, Technology, Operational Risk, Internal Audit, Procurement and WNS leadership to resolve issues and strengthen the outsourced control environment.
- Lead periodic process walkthroughs, quality calibration sessions, sample reviews and control testing to validate that WNS outputs comply with policy, procedure, regulatory expectations and agreed adjudication standards.
- Identify, priorities and deliver automation, workflow digitisation, data standardization, exception reduction and process re engineering opportunities across screening and monitoring processes
- Partner with Technology, Compliance SMEs and WNS operational excellence teams to evaluate use cases such as automated queue management, RFI workflow tracking, narrative standardization, quality analytics, robotics, AI assisted review support and enhanced MI.
- Maintain current and granular SOPs, desktop procedures, training materials, escalation matrices and governance artefacts for WNS managed Compliance Operations activities.
- Support capacity planning and workforce alignment by validating volumes, productivity assumptions, leave coverage, training needs, span of control, cross skilling opportunities and contingency arrangements.
Experience & Academic Qualifications
- Bachelor’s degree in finance, Business Administration, Accounting, Risk Management, Law, or a related discipline.
- Professional certifications in AML/Financial Crime Compliance or Risk Management (e.g., CAMS, ICA, CFE, CRCM) are preferred.
- Minimum 5–7 years of experience within Banking Operations, Financial Crime Compliance, AML, Sanctions Screening, Transaction Monitoring, or Operational Risk functions.
- Experience in managing or governing outsourced/shared service operations, including vendor performance management, service level monitoring, and operational governance.
- Strong knowledge of AML, Sanctions, Name Screening, Payment Screening, and Transaction Monitoring processes, including applicable regulatory and compliance requirements.
- Experience in managing operational risk, control testing, audit reviews, regulatory inspections, and remediation of control gaps.
- Demonstrated experience in developing management information (MI), performance dashboards, KPI/KRI reporting, capacity planning, and service performance optimization.
- Strong people and performance management experience, including overseeing large operational teams in
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