Senior Specialist - Enforcement
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Key skills for this role
About the Role
Assist in developing and delivering strategies, conduct investigations, manage regulatory actions, and maintain stakeholder relationships while ensuring compliance.
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 assigned investigations, referral assessments, complaints assessments, and mutual assistance matters
- Prepare formal recommendations, gather evidence, and conduct investigative interviews
- Assess and respond to complaints and referrals
- Conduct regulatory action proceedings in collaboration with Legal Department
- Contribute to policy development and oversight of Complaints Management function
- Develop relationships with external stakeholders and regulatory agencies
Requirements
- Experience in regulatory investigations and enforcement
- Ability to lead complex investigations and regulatory action proceedings
- Knowledge of FSRA administered regulations and rules
- Experience in cross border investigations and cooperation with regulatory agencies
Full Job Posting
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
- Assess and respond to internal and external referrals
- Conduct, in collaboration with the FSRA Legal Department, Regulatory Action proceedings
- Contribute to the oversight of the Enforcement Department's Complaints Management function
- Contribute to the Enforcement Department's continuous development and enhancement of its policies and procedures
- 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
- Contribute to building a cohesive team environment
- Take responsibility for mentoring high potential and critical talent
Information Security
- Understand, adopt, adhere and practice responsibilities or controls as per ADGM Information Security policy
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