Manager - Enforcement
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Key skills for this role
About the Role
Assist in developing and delivering enforcement strategies, conduct investigations, manage regulatory actions, and mentor team members in a cohesive environment.
Key Skills for This Role
Responsibilities
- Assist in the development and effective delivery of the FSRA and Enforcement Department's Strategy and Operational Plan
- Conduct a range of assigned investigations, referral assessments, complaints assessments, mutual assistance matters and regulatory action proceedings
- Manage and conduct assigned complex investigations into suspected contraventions of FSRA administered Regulations and Rules
- Prepare formal recommendations to commence investigations
- Gather evidence through formal powers and voluntary requests
- Forensically review and analyze evidence
- Prepare detailed reports of findings and recommendations for regulatory action
- Assess and respond to complaints concerning potential contraventions
- Conduct regulatory action proceedings in collaboration with FSRA Legal Department
- Contribute to oversight of Enforcement Department's Complaints Management function
- Work with international and UAE regulatory and law enforcement authorities on cross border matters
- Mentor high potential and critical talent in their career progression
Requirements
- Experience in conducting investigations into suspected contraventions of financial regulations
- Knowledge of regulatory frameworks and enforcement procedures
- Ability to gather and analyze evidence, including through formal powers
- Experience in preparing detailed reports and recommendations for regulatory action
- Strong communication and collaboration skills
- Experience in mentoring team members
Full Job Posting
Role Overview
- Assist in the development and effective delivery of the FSRA and Enforcement Department's Strategy and Operational Plan.
- Assist in the ongoing development, enhancement and implementation of policies and procedures.
- Take responsibility for assigned initiatives both at FSRA and Departmental level.
Operational Responsibilities
- Conduct a range of assigned investigations, referral assessments, complaints assessments, mutual assistance matters and regulatory action proceedings.
- Manage and conduct assigned complex investigations into suspected contraventions of FSRA administered Regulations and Rules.
- Prepare formal recommendations to commence investigations.
- Plan and project manage the investigation.
- Gather evidence through formal powers and voluntary requests.
- Forensically review and analyze evidence.
- Secure and register evidence.
- Conduct investigative interviews.
- Report on the progress of investigations.
- Prepare detailed reports of findings and recommendations for regulatory action.
- Assess and respond to complaints concerning potential contraventions.
- Conduct regulatory action proceedings in collaboration with FSRA Legal Department.
Managerial Responsibilities
- Contribute to building a cohesive team environment.
- Take responsibility for mentoring high potential and critical talent in their career progression.
Information Security
- Understand, adopt, adhere and practice responsibilities or controls as per ADGM Information Security policy.
- Maintain confidentiality, integrity and availability of ADGM Information at all times.
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