246 Compliance Monitoring jobs in the United Arab Emirates
Compliance Monitoring Systems Specialist
Posted today
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Job Description
Shape the future of compliance with a leading global blockchain ecosystem.
The role involves leveraging data to strengthen monitoring systems, translating complex information into actionable insights, and ensuring operational efficiency. As a Data Scientist in this team, you will play a crucial role in shaping compliance monitoring systems, analyzing and interpreting data to extract statistical insights that guide decision-making and operational improvements.
Responsibilities
- Employ a variety of data science techniques to assess and mitigate compliance risk.
- Design, maintain, and deploy ETL/ELT pipelines to monitor transactional and KYC data.
- Develop and maintain dashboards to monitor the health of various compliance systems.
Requirements
- Strong understanding of compliance, including KYC, sanctions, transaction monitoring, and other related teams.
- Hands-on experience with SQL and Python, with a strong ability to build analytical dashboards.
- Excellent written and verbal communication skills to coordinate with overseas partners and stakeholders.
Benefits
- Collaborate with world-class talent in a user-centric organization.
- Tackle unique projects with autonomy in an innovative environment.
- Thrive in a results-driven workplace with opportunities for career growth and continuous learning.
Senior Compliance Officer - Compliance Assurance & Monitoring
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Job Description
AtRAKBANK, we believe in fostering a culture of innovation, growth, and excellence. We are not just a bank – we are a community that thrives on teamwork, cutting-edge solutions, and the highest standards of governance.
About the role
In this role, you will be responsible tosupport the Compliance Monitoring function by conducting independent reviews covering regulatory, financial crime compliance (FCC), and conduct risks in accordance with the approved Compliance Monitoring Plan (CMP), and to provide assurance on the efficiency and effectiveness of internal controls and compliance frameworks across the organization. In this role you will be reporting toSenior Vice President & Head of Compliance Assurance & Monitoring.
What You’ll Be Doing :
- Execute compliance monitoring plans through thematic and desktop reviews to evaluate control effectiveness across business units.
- Document findings and escalate compliance issues to stakeholders in a timely and structured manner.
- Prepare and present reports and insights for management and business units, including dashboards and risk ratings.
- Support the development and implementation of corrective action plans, tracking resolution and maintaining updated risk registers and issue logs.
- Update and manage the issue tracker repository, providing regular updates to senior management.
- Contribute to the refinement of compliance policies, procedures, and training materials based on monitoring outcomes and emerging risks.
- Identify and analyze new risk patterns and typologies through ongoing reviews and data interpretation to support proactive risk management.
- Ensure adherence to internal policies and regulatory standards, including the CMA charter and CBUAE requirements.
- Monitor and interpret updates from regulatory bodies and international compliance frameworks relevant to financial crime and AML/CFT.
- Maintain accurate compliance documentation to support regulatory inspections, audits, and inquiries efficiently.
- Participate in team meetings, training sessions, and knowledge-sharing forums to foster collaboration and compliance awareness.
- Collate and risk-rate monitoring results using structured matrices and provide actionable insights for senior leadership.
What We’re Looking For :
- Education - Bachelor’s or master’s degree in finance, Law, Business Administration, or a related field.Professional certifications such as CAMS, ICA, CFE, or equivalent (preferred).
- Experience - 3 to 5 years of relevant experience in compliance, audit, or risk management within the banking or financial services sector.
- Industry Exposure - Banking and Finance
What’s In It For You :
- Competitive, performance-linked compensation.
- Medical coverage for you and your family.
- Comprehensive life insurance.
- Inclusive and diverse workplace culture.
- Career development and fast-track growth opportunities.
- Mentorship from industry experts.
Senior Compliance Officer – Compliance Assurance & Monitoring
Posted 5 days ago
Job Viewed
Job Description
AtRAKBANK, we believe in fostering a culture of innovation, growth, and excellence. We are not just a bank – we are a community that thrives on teamwork, cutting-edge solutions, and the highest standards of governance.
About the role
In this role, you will be responsible tosupport the Compliance Monitoring function by conducting independent reviews covering regulatory, financial crime compliance (FCC), and conduct risks in accordance with the approved Compliance Monitoring Plan (CMP), and to provide assurance on the efficiency and effectiveness of internal controls and compliance frameworks across the organization. In this role you will be reporting toSenior Vice President & Head of Compliance Assurance & Monitoring.
What You’ll Be Doing:
- Execute compliance monitoring plans through thematic and desktop reviews to evaluate control effectiveness across business units.
- Document findings and escalate compliance issues to stakeholders in a timely and structured manner.
- Prepare and present reports and insights for management and business units, including dashboards and risk ratings.
- Support the development and implementation of corrective action plans, tracking resolution and maintaining updated risk registers and issue logs.
- Update and manage the issue tracker repository, providing regular updates to senior management.
- Contribute to the refinement of compliance policies, procedures, and training materials based on monitoring outcomes and emerging risks.
- Identify and analyze new risk patterns and typologies through ongoing reviews and data interpretation to support proactive risk management.
- Ensure adherence to internal policies and regulatory standards, including the CMA charter and CBUAE requirements.
- Monitor and interpret updates from regulatory bodies and international compliance frameworks relevant to financial crime and AML/CFT.
- Maintain accurate compliance documentation to support regulatory inspections, audits, and inquiries efficiently.
- Participate in team meetings, training sessions, and knowledge-sharing forums to foster collaboration and compliance awareness.
- Collate and risk-rate monitoring results using structured matrices and provide actionable insights for senior leadership.
What We’re Looking For:
- Education -Bachelor’s or master’s degree in finance, Law, Business Administration, or a related field.Professional certifications such as CAMS, ICA, CFE, or equivalent (preferred).
- Experience -3 to 5 years of relevant experience in compliance, audit, or risk management within the banking or financial services sector.
- Industry Exposure -Banking and Finance
What’s In It For You:
- Competitive, performance-linked compensation.
- Medical coverage for you and your family.
- Comprehensive life insurance.
- Inclusive and diverse workplace culture.
- Career development and fast-track growth opportunities.
- Mentorship from industry experts.
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AVP- Compliance Monitoring and Testing
Posted today
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Job Description
Company Description
FAB, the UAE's largest bank and one of the world's most secure financial institutions, is dedicated to creating value for its employees, customers, shareholders, and communities. Through innovation, agility, and differentiation, FAB is committed to fostering growth. We are looking for top talent and your success is our success. Accelerate your growth as you help us reach our goals and advance your career. Be ready to make your mark a top company, in an exciting and dynamic industry
Job DescriptionJOB PURPOSE:
Compliance Assurance Unit
The unit is responsible for managing the Group Compliance Testing and Monitoring plan to provide assurance that the Group is operating in line with regulatory requirements and internal compliance policies and procedures. This entails planning, development and implementation of a risk-based Group Compliance Testing and Monitoring plan, working with business units to undertake reviews and issuing reports that provide assurance as well as highlighting deficiencies so that they can be corrected. This function is also responsible for maintaining a log of all compliance and regulatory related issues across the Group and to track and report them as well as validate the appropriate closure. The function also provides assistance in the development of compliance reports to support the to execute monitoring and testing on first and second line of defence activities related to Regulatory Compliance and Financial Crime, in line with the approved Group Compliance Testing and Monitoring plan.
KEY ACCOUNTABILITIES:
Job Specific Accountabilities
- Support in the development of the annual Compliance Testing and Monitoring plan, testing schedules, templates and associated working papers.
- Perform Compliance testing and monitoring reviews within the Group.
- Consult with relevant departments to ensure that the coverage, scope and approach to delivering reviews are planned and targeted effectively.
- Execute the compliance testing and monitoring reviews (desk/thematic) in accordance with the Group Compliance Reviews procedure, including control design assessment and operating effectiveness testing.
- Identify gaps in the controls, processes and systems and agree remedial actions.
- Prepare the review reports and track business unit remediation activity.
- Prepare the periodic reports to the Head of Compliance Assurance on Compliance testing and monitoring results, compliance issues and overdue/completed action plans.
- Maintain and prepare Compliance monitoring and testing and Issue Management related Management Information reports.
Generic:
- Support VP Compliance Testing and Issue Management in the Compliance issue maintenance, tracking and reporting to Senior Management.
- Support Group Compliance Assurance on any ad hoc tasks as applicable.
- Support VP Compliance Monitoring Plan in drafting and implementing Quality assurance procedure.
- Undertake Quality assurance reviews on Alert closure generated from the transaction monitoring, payment and name screening systems.
- Recommended remedial action to ensure compliance with FCC policies and procedures.
- Identify gaps in the system/process and recommend improvement.
- Conduct relevant training on conducting quality assurance to new joiners and junior staff.
- Support VP Compliance Monitoring Plan in drafting and design CMP.
- Support MAG team members on any ad hoc tasks as applicable.
- Bachelor's Degree or Higher in Management, Banking or Finance, preferably with certification in compliance, corporate governance, risk management or internal audit.
- At least 4-5 years of business experience preferably in Compliance and/or Audit in a reputed bank
Quality Assurance:
Generic:
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QualificationsMinimum Qualification
Minimum Experience
Data Scientist for Compliance Monitoring
Posted today
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Job Description
Job Title
At Binance, we are seeking a skilled Data Scientist to join our Compliance team. As a key member of this team, you will play a crucial role in shaping compliance monitoring systems and ensuring operational efficiency.
AVP- Compliance Monitoring and Testing
Posted 5 days ago
Job Viewed
Job Description
Company Description
FAB, the UAE's largest bank and one of the world's most secure financial institutions, is dedicated to creating value for its employees, customers, shareholders, and communities. Through innovation, agility, and differentiation, FAB is committed to fostering growth. We are looking for top talent and your success is our success. Accelerate your growth as you help us reach our goals and advance your career. Be ready to make your mark a top company, in an exciting and dynamic industry
Job DescriptionJOB PURPOSE:
Compliance Assurance Unit
The unit is responsible for managing the Group Compliance Testing and Monitoring plan to provide assurance that the Group is operating in line with regulatory requirements and internal compliance policies and procedures. This entails planning, development and implementation of a risk-based Group Compliance Testing and Monitoring plan, working with business units to undertake reviews and issuing reports that provide assurance as well as highlighting deficiencies so that they can be corrected. This function is also responsible for maintaining a log of all compliance and regulatory related issues across the Group and to track and report them as well as validate the appropriate closure. The function also provides assistance in the development of compliance reports to support the to execute monitoring and testing on first and second line of defence activities related to Regulatory Compliance and Financial Crime, in line with the approved Group Compliance Testing and Monitoring plan.
KEY ACCOUNTABILITIES:
Job Specific Accountabilities
- Support in the development of the annual Compliance Testing and Monitoring plan, testing schedules, templates and associated working papers.
- Perform Compliance testing and monitoring reviews within the Group.
- Consult with relevant departments to ensure that the coverage, scope and approach to delivering reviews are planned and targeted effectively.
- Execute the compliance testing and monitoring reviews (desk/thematic) in accordance with the Group Compliance Reviews procedure, including control design assessment and operating effectiveness testing.
- Identify gaps in the controls, processes and systems and agree remedial actions.
- Prepare the review reports and track business unit remediation activity.
- Prepare the periodic reports to the Head of Compliance Assurance on Compliance testing and monitoring results, compliance issues and overdue/completed action plans.
- Maintain and prepare Compliance monitoring and testing and Issue Management related Management Information reports.
Generic:
- Support VP Compliance Testing and Issue Management in the Compliance issue maintenance, tracking and reporting to Senior Management.
- Support Group Compliance Assurance on any ad hoc tasks as applicable.
Quality Assurance:
- Support VP Compliance Monitoring Plan in drafting and implementing Quality assurance procedure.
- Undertake Quality assurance reviews on Alert closure generated from the transaction monitoring, payment and name screening systems.
- Recommended remedial action to ensure compliance with FCC policies and procedures.
- Identify gaps in the system/process and recommend improvement.
- Conduct relevant training on conducting quality assurance to new joiners and junior staff.
Generic:
- Support VP Compliance Monitoring Plan in drafting and design CMP.
- Support MAG team members on any ad hoc tasks as applicable.
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QualificationsMinimum Qualification
- Bachelor’s Degree or Higher in Management, Banking or Finance, preferably with certification in compliance, corporate governance, risk management or internal audit.
Minimum Experience
- At least 4-5 years of business experience preferably in Compliance and/or Audit in a reputed bank
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CMAT (Compliance Monitoring and Assurance Testing) Analyst
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Join to apply for the CMAT (Compliance Monitoring and Assurance Testing) Analyst role at Dicetek LLC
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CMAT Objective and scope
The CMAT team is responsible for the execution and delivery of the CMAT Plan across the Group to cover adherence to Group Compliance policies and any new regulations that require compliance monitoring. CMAT Team is accountable to the Head of CG&A
CMAT Objective and scope
The CMAT team is responsible for the execution and delivery of the CMAT Plan across the Group to cover adherence to Group Compliance policies and any new regulations that require compliance monitoring. CMAT Team is accountable to the Head of CG&A
Responsibilities (high-level)
- Adhere with Board Approved CMAT Methodology
- Execute specific CMAT activities across the Assessment Areas identified in the approved CMAT plan within predefined TATs
- Leading the planning, fieldwork and reporting of CMAT Reviews
- Liaise with the Assessment Areas on the approach, methodology, expectations, walkthroughs and their role in the CMAT assessment
- Assess controls design and operating effectiveness, review of evidence & documentation, risks & controls, in adherence with compliance policies and
- Perform testing of controls as per plan and documentation of test outcome including evidence and record exceptions in the templates approved by ADIB
- Responsible for communicating material assurance findings and breaches to stakeholders including Business Units and compliance teams (including financial
- Document CMAT Reports containing findings and recommendations based on the design and operating effectiveness reviews
- Ensure issues/breaches identified during CMAT reviews are raised and reported in ADIB GRC system
- CMAT Reports
- Testing Sheets an Working Papers- competed and timely stored in compliance shared folder
- Other supporting evidence to substantiate findings- timely stored on Compliance shared folder
- Follow-up reports outlining the status of closure of findings
- MI/ Dashboard- Insights, root cause review findings for continuous improvements
- Good management information reporting and report writing skills
- Knowledge of Compliance frameworks i.e.: Compliance Charter/ Compliance policies and procedures
- Knowledge or client onboarding including (KYC/ FATCA/ ODD/ Screening)
- Bilingual English and Arabic is an advantage
- BA/ BSc or higher degree in business, finance or any other related subject
- Candidate should posses minimum 3 years experience in Compliance monitoring or Internal Audit with exposure of Compliance Audits or similar
- Ability to build constructive and effective relationship with peers and other stakeholders.
- Strong communication analytical, written and oral communication skills
- Team player with ability to work on own initiative
- Seniority level Not Applicable
- Employment type Contract
- Job function Finance and Sales
- Industries IT Services and IT Consulting
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CMAT (Compliance Monitoring and Assurance Testing) Analyst
Posted today
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Job Description
Join to apply for the CMAT (Compliance Monitoring and Assurance Testing) Analyst role at Dicetek LLC
CMAT (Compliance Monitoring and Assurance Testing) Analyst1 year ago Be among the first 25 applicants
Join to apply for the CMAT (Compliance Monitoring and Assurance Testing) Analyst role at Dicetek LLC
CMAT Objective and scope
The CMAT team is responsible for executing and delivering the CMAT Plan across the Group, ensuring adherence to Group Compliance policies and new regulations requiring compliance monitoring. The CMAT Team reports to the Head of CG&A.
Responsibilities (high-level)
- Adhere to Board Approved CMAT Methodology.
- Execute specific CMAT activities across Assessment Areas within predefined TATs.
- Lead planning, fieldwork, and reporting of CMAT Reviews.
- Liaise with Assessment Areas on approach, methodology, expectations, walkthroughs, and their roles.
- Assess controls design and effectiveness, review evidence & documentation, risks & controls, in compliance with policies and regulations.
- Perform control testing, document outcomes, and record exceptions.
- Communicate findings and breaches to stakeholders, including Business Units and compliance teams.
- Document CMAT Reports with findings and recommendations.
- Ensure issues/breaches are raised and reported in ADIB GRC system.
Deliverables (high-level)
- CMAT Reports
- Testing Sheets and Working Papers stored in compliance folders.
- Supporting evidence stored on Compliance shared folder.
- Follow-up reports on closure of findings.
- MI/Dashboard for insights and root cause analysis for improvements.
Skills/Technical Knowledge Required
- Good reporting and report writing skills.
- Knowledge of Compliance frameworks, policies, and procedures.
- Experience with client onboarding processes (KYC, FATCA, ODD, Screening).
- Bilingual in English and Arabic is an advantage.
- Degree in business, finance, or related field.
- Minimum 3 years' experience in Compliance monitoring or Internal Audit.
- Ability to build effective relationships with stakeholders.
- Strong analytical, written, and oral communication skills.
- Team player with initiative.
- Not Applicable
- Contract
- Finance and Sales
- IT Services and IT Consulting
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#J-18808-LjbffrCMAT (Compliance Monitoring and Assurance Testing) Analyst
Posted 5 days ago
Job Viewed
Job Description
Join to apply for the CMAT (Compliance Monitoring and Assurance Testing) Analyst role at Dicetek LLC
CMAT (Compliance Monitoring and Assurance Testing) Analyst1 year ago Be among the first 25 applicants
Join to apply for the CMAT (Compliance Monitoring and Assurance Testing) Analyst role at Dicetek LLC
CMAT Objective and scope
The CMAT team is responsible for executing and delivering the CMAT Plan across the Group, ensuring adherence to Group Compliance policies and new regulations requiring compliance monitoring. The CMAT Team reports to the Head of CG&A.
Responsibilities (high-level)
- Adhere to Board Approved CMAT Methodology.
- Execute specific CMAT activities across Assessment Areas within predefined TATs.
- Lead planning, fieldwork, and reporting of CMAT Reviews.
- Liaise with Assessment Areas on approach, methodology, expectations, walkthroughs, and their roles.
- Assess controls design and effectiveness, review evidence & documentation, risks & controls, in compliance with policies and regulations.
- Perform control testing, document outcomes, and record exceptions.
- Communicate findings and breaches to stakeholders, including Business Units and compliance teams.
- Document CMAT Reports with findings and recommendations.
- Ensure issues/breaches are raised and reported in ADIB GRC system.
Deliverables (high-level)
- CMAT Reports
- Testing Sheets and Working Papers stored in compliance folders.
- Supporting evidence stored on Compliance shared folder.
- Follow-up reports on closure of findings.
- MI/Dashboard for insights and root cause analysis for improvements.
Skills/Technical Knowledge Required
- Good reporting and report writing skills.
- Knowledge of Compliance frameworks, policies, and procedures.
- Experience with client onboarding processes (KYC, FATCA, ODD, Screening).
- Bilingual in English and Arabic is an advantage.
- Degree in business, finance, or related field.
- Minimum 3 years' experience in Compliance monitoring or Internal Audit.
- Ability to build effective relationships with stakeholders.
- Strong analytical, written, and oral communication skills.
- Team player with initiative.
- Not Applicable
- Contract
- Finance and Sales
- IT Services and IT Consulting
This job is not expired and is active.
#J-18808-LjbffrCompliance Governance & Monitoring Manager
Posted 5 days ago
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Job Description
Role : Compliance Governance and Monitoring Manager
Location : Abu Dhabi
Role Purpose:
The jobholder will support the Compliance Governance & Assurance (CGA) department to achieve its objectives in providing effective oversight over the development and dissemination of the Group Compliance program. This will include support in tracking policies and procedures training strategy resource management Ml and reporting vendor management budget coordination information security and Business Continuity liaison.
This role also will support the Primary Business Operational Risk Management (BORM) for GCD by acting as the secondary BORM which includes issues management incident reporting compliance risks library KRIs in GRC system and Risk & Control Self-Assessment (RCSA) controls testing.
The jobholder will also support the Group-wide Compliance Monitoring and Assurance Testing (CMAT) function which applies a risk-based approach to monitor and test the First Line of Defense activities related to compliance risks.
CGA unit provides a shared service to the other units within GCD specifically the Financial Crime Compliance (FCC) Regulatory Affairs Unit (RAU) International Branches Compliance (IBG Compliance) and the offshore Compliance Operations Center (COC).Key Accountabilities of the role
Ensure effective implementation of the Groups Compliance strategy within the teams remit.
- Maintain custody of the Group Compliance policies and procedures and oversee their dissemination.
- Provide support in obtaining relevant approvals for dispensations and deferrals request received from Business units and support functions.
- Maintain the up-to-date compliance risks library.
- Support in organising regular GCD Business Risk & Compliance Committee (BRCC) meetings.
- Take supporting notes and meeting minutes and provide updates on GCD actions arising out of governing forum meetings.
- Coordinate with various GCD unit heads and collate relevant compliance MI/dashboards on a timely basis for submission to various Management and Board Committees such as Business Risk & Compliance Committee (BRCC) Controls & Compliance Committee (CCC) Board Governance & Risk Policy Committee (GRPC) and Board Audit Committee (BAC).
- Respond to queries from the audit team and implement recommendations for the CGA unit.
- Lead Group Compliance (including branches subsidiaries and international locations) MIS strategy including (but not limited to) the reporting framework which entails developing and maintaining leading compliance reporting standards templates processes and management information systems.
- Review processes to identify opportunities to streamline and further automate the preparation of MI reports where possible.
- Coordinate with Compliance colleagues to validate the information provided and maintain documentary evidence and emails to support the data presented in the compliance reports and dashboards.
- Prepare trend analyses and dashboards to support the Global Head of CGA in identifying root causes of compliance issues.
- Monitor compliance KRIs liaise with compliance Colleagues across the Group to track actions and report the closure of findings raised by internal/external auditors and regulators.
- Act as a central point of contact for reporting of self-identified compliance incidents/issues/breaches across the Group.
- Report and log compliance specific breaches/issues in the GRC system.
- Budget Tracking and Vendor Management:
- Prepare Forecast for Annual and Midyear Budget
- Consolidate the GCDs budget in consultation with the Compliance unit heads and monitor adherence to the approved budget.
- Track deviations in actual spend versus forecast through obtaining
monthly expense summary from Finance
Perform the responsibilities of Secondary BORM to safeguard ADIBs reputation from Regulatory Compliance Risk by ensuring Compliance across First Line and Second Line of Defense through Key Risk Indicators Issue Management Risk and Control Self-Assessment and perform quarterly control testing and submit results in GRC system.
Compliance Monitoring & Assurance Testing (CMAT)
- Support the risk based CMAT planning process for both UAE and IBG which is overseen by the Head of CGA. This will include starting the annual planning process and the quarterly refresh maintain the trackers up to date and liaise with key stakeholders to manage any change in plan while maintaining an accurate audit trail of all changes with rational and supporting evidence.
- Support in maintaining and updating the CMAT policies and methodology working papers and templates.
- Perform Monitoring & Testing activities including leading reviews in UAE and IBG countries (When required).
- Support the evaluation of the adequacy quality and effectiveness of the name screening and transaction monitoring alerts and case closure.
- Perform quality assurance on the completed CMAT reviews to ensure the reviews are completed as per CMAT Methodology.
- Use the quality assurance results to share best practice and to highlight any gaps or training needs.
- Support the Assurance training /coaching requirements.
- Provide analysis of relevant CMAT data to help inform business decisions action plans and any required enhancements.
Information security and Business Continuity liaison
- Act as the coordinator for Information security and Business Continuity requirements within the GCD.
- Bachelors degree in business studies law accounting economics or commerce or specific training in risk management.
- Minimum of 8 10 years banking experience with 5 years in Compliance or Control function.
- Strong understanding of the Compliance Risks and Controls with previous experience in working in Compliance or Control function
- Previous experience in performing Assurance activities in Regulatory and Financial Crime Compliance
- Good exposure toMIS reporting data Analysis MS Excel MS PowerPoint and pivot table.
- Understanding of statistics and business trend analysis
- Strong peer and senior stakeholders communication and management skills
- Good presentation skills
- Ability to perform innovative thinking to solve complex problems with no established precedence while balancing risk speed and accuracy
- Ability to be a self-starter and work independently as well as part of a team
- Analytical mind good communication and self-motivated detail oriented
- Fluent in English (Ability to read and communicate in Arabic Language will be an added advantage)
Previous experience required (if any)
- Minimum of 8 10 years banking experience with 5 years in Compliance or Control function.
Required Experience:
Manager
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