Manager, Compliance Operations
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Key skills for this role
About the Role
Commercial Bank of Dubai seeks a Manager to oversee outsourced Compliance Operations activities performed by WNS in India, covering 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
- Ensure adherence to agreed SLAs, turnaround times, productivity standards, quality benchmarks, escalation protocols
- Oversee timely and accurate disposition of alerts, including false match closures, RFI management, escalation of higher risk cases
- Review and challenge WNS performance through structured governance forums, daily/weekly operational reviews, ageing analysis, backlog management
- Establish and maintain robust MI dashboards covering volumes, capacity, productivity, ageing, quality, rework, escalations, incidents
- Coordinate with Financial Crime Compliance, Sanctions, AML, MLRO/DMLRO teams, Operations, Technology, Operational Risk, Internal Audit, Procurement
- Lead periodic process walkthroughs, quality calibration sessions, sample reviews and control testing
- Identify, prioritize and deliver automation, workflow digitisation, data standardization, exception reduction and process re engineering opportunities
- Maintain current and granular SOPs, desktop procedures, training materials, escalation matrices and governance artefacts
- Support capacity planning and workforce alignment by validating volumes, productivity assumptions, leave coverage, training needs
- Ensure incidents, SLA breaches, quality failures, control gaps and audit observations are promptly logged, escalated, remediated and tracked to closure
- Drive a culture of continuous improvement, control ownership, operational discipline and risk awareness
Requirements
- Bachelor's degree in Finance, Business Administration, Accounting, Risk Management, Law, or related discipline
- Minimum 5 7 years of experience in Banking Operations, Financial Crime Compliance, AML, Sanctions Screening, Transaction Monitoring, or Operational Risk functions
- Experience in managing or governing outsourced/shared service operations
- Strong knowledge of AML, Sanctions, Name Screening, Payment Screening, and Transaction Monitoring processes
- Experience in developing MI, performance dashboards, KPI/KRI reporting, capacity planning
- Professional certifications in AML/Financial Crime Compliance or Risk Management (e.g., CAMS, ICA, CFE, CRCM) preferred
Full Job Posting
Job Purpose
- 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 processes.
- Ensure 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.
- Ensure adherence to agreed SLAs, turnaround times, productivity standards, quality benchmarks, escalation protocols and contractual obligations.
- 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.
- Coordinate with Financial Crime Compliance, Sanctions, AML, MLRO / DMLRO teams, Operations, Technology, Operational Risk, Internal Audit, Procurement and WNS leadership.
- Lead periodic process walkthroughs, quality calibration sessions, sample reviews and control testing.
- Identify, prioritize and deliver automation, workflow digitisation, data standardization, exception reduction and process re engineering opportunities.
- 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.
- Maintain current and granular SOPs, desktop procedures, training materials, escalation matrices and governance artefacts.
- 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 onshore and offshore environments.
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