Manager - Supervision
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Key skills for this role
About the Role
Responsible for supervising financial institutions, executing risk-based supervisory approaches, and enhancing regulatory frameworks while managing stakeholder relationships.
Key Skills for This Role
Responsibilities
- Responsible for effective supervision of relevant financial institutions within the FSRA risk based supervisory plan
- Make appropriate use of supervisory tools such as on site/off site reviews, third parties reviews, information requests
- Contribute to the periodic risk assessment of firms in line with Supervisory work plan
- Review regulatory submissions made by relevant financial institutions
- Produce risk analysis based on data provided by asset/fund managers
- Manage receipt, acknowledgement, and processing of fund related submissions
- Assess applications and notifications made to the Regulator by Authorised Persons
- Conduct periodic remediation implementation reviews and create progress reports
- Build and manage relationships with stakeholders among market participants
- Take prompt action against deficiencies and non compliances identified
- Contribute to developing, enhancing and implementing the framework, policies, rules and procedures for governing and supervising Fund and Asset Management entities
Requirements
- Experience in supervision of financial institutions, particularly in fund and asset management
- Knowledge of risk based supervisory approaches
- Ability to conduct on site/off site reviews and risk assessments
- Strong analytical and report writing skills
- Excellent communication and stakeholder management skills
Full Job Posting
Role Overview
- The FSRA is responsible for the regulation of Financial Services providers in the ADGM.
- The Supervision Division consists of the Supervision Department and the Markets Department.
- The Manager Supervision (Fund and Asset Management) is responsible for supervision of a portfolio of financial institutions active in the Fund Management and/or Asset Management sectors.
Operational Responsibilities
- Responsible for effective supervision of relevant financial institutions within the FSRA risk based supervisory plan.
- Make appropriate use of supervisory tools such as on site/off site reviews, third parties reviews, information requests etc.
- Contribute to the periodic risk assessment of firms in line with Supervisory work plan.
- Review regulatory submissions made by relevant financial institutions.
- Produce risk analysis based on the data provided by asset / fund managers.
- Manage the receipt, acknowledgement and processing of fund related submissions.
- Assess applications and notifications made to the Regulator by Authorised Persons.
- Conduct periodic remediation implementation reviews and create progress reports.
- Build and manage relationships with stakeholders among market participants.
- Take prompt action against deficiencies and non compliances identified.
- Deliver additional tasks that may be delegated from senior management.
- Adherence to all internal policies, procedures, standards and behaviours.
Strategic Responsibilities
- Contribute to developing, enhancing and implementing the framework, policies, rules and procedures for governing and supervising Fund and Asset Management entities.
- Contribute to the development and production of sectoral reports and management information.
Managerial Responsibilities
- Act as a reference point and provide expertise and support to other colleagues within the Supervision team.
- Contribute towards a team culture within the Supervision team.
Information Security
- Understand, adopt, adhere and practice responsibilities or controls as per ADGM Information Security policy.
- Maintain confidentiality, Integrity and availability of the ADGM Information at all times.
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