Senior Manager - Enforcement
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Key skills for this role
About the Role
Lead regulatory investigations, develop policies, and manage enforcement actions while ensuring compliance with financial regulations and fostering stakeholder relationships.
Key Skills for This Role
Responsibilities
- Assist in development and delivery of FSRA and Enforcement Department's Strategy and Operational Plan
- Lead investigations and regulatory action matters
- Conduct complex investigations into suspected contraventions of FSRA administered Regulations and Rules
- 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 other regulatory agencies in cross border investigations
Requirements
- Experience in leading regulatory investigations and enforcement actions
- Knowledge of FSRA administered regulations and rules
- Ability to manage complex investigations and prepare detailed reports
Full Job Posting
Role Overview
- Assist in development and effective delivery of FSRA and Enforcement Department’s Strategy and Operational Plan.
- Provide expert leadership in key assigned practice and policy areas.
- Be responsible for leading investigations and regulatory action matters.
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.
- Assess and respond to complaints concerning potential contraventions.
- Conduct regulatory action proceedings to impose regulatory and disciplinary action.
- Contribute to oversight of Enforcement Department’s Complaints Management function.
- Work collaboratively with other regulatory functions in the FSRA.
- Develop and maintain effective relationships with ADGM and external stakeholders.
- Work with other regulatory agencies in cross border investigations.
- Provide effective assistance to international and UAE regulatory and law enforcement authorities.
Managerial Responsibilities
- Contribute to building a cohesive team environment.
- Take responsibility for mentoring high potential and critical talent.
- Adhere to ADGM Information Security policy.
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