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Showing 2 Compliance Policies And Procedures jobs in Abu Dhabi

Regulatory Affairs Manager

Abu Dhabi, Abu Dhabi Abu Dhabi Islamic Bank PJSC

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Job Description

Role: Regulatory Affairs Manager
Location: Abu Dhabi Role Purpose:
The Regulatory Affairs & FATCA/CRS Manager is the primary Point of Contact (PoC) / Designated FATCA CRS Officer for ADIB Group, who will maintain ADIB’s regulatory relationships with competent regulators including Central Bank of UAE (CBUAE) and Securities and Commodities Authority (SCA) and UAE Ministry of Finance and ensure that ADIB has in place a robust framework to meet its regulatory commitments in line with global standards for the automatic exchange of financial account information. Key accountabilities of the role include:

  • Develop and maintain internal procedures, standards, self-certification processes and guidance checklists to Businesses and Group Entities in line with UAE Ministry of Finance, Central Bank of UAE and Competent Tax Authorities for compliance with FATCA & CRS policies and governance documents.
  • Act as the subject matter expert (SME) in respect of FATCA & CRS for the function, businesses and support functions.
  • Submit accurate and timely reporting to the various Competent Tax Authorities.
  • Develop Data Validation processes to ensure completeness and accuracy of information received.
  • Provide inputs to bank’s data governance framework to prescribe all required data to be captured and maintained within core banking systems from onboarding channels.
  • Assess and propose enhancements and implement changes to procedures and internal systems for improved automation and end-to-end workflow and controls.
  • Maintain relationships with Data Governance, Technology and Client On-boarding teams as required, for effective troubleshooting and successful end-to-end workflows.
  • Provide support with Group Internal Audit requests, ensuring accurate information is provided in a timely manner.
  • Provide Training guidance and advice on entity classifications and reportable information each financial year.
  • Support the implementation and configuration of Reporting Tools and leveraging of AI.

Key Accountabilities of the role:

Policies and Procedures:

  • Support in maintenance and update of Regulatory Affairs and Ethical Conduct related policies, procedures, and processes.
  • Ensure the continuous monitoring and update of Regulatory Affairs Related policies by addressing regular updates to Head of Regulatory Affairs on their renewal status and market/regulatory evolution.

FATCA and CRS:

  • Ensure the continuous review, enhancement and oversight of FATCA and CRS regulations, policies and procedures.
  • Investigate, advise and challenge the onboarding documentation process and assessment of FATCA/CRS compliance risks associated to ADIB.
  • Coordinate and finalize any ad-hoc gap assessment of the FATCA and CRS policies and procedures against updated regulatory requirements and ensure oversight or implementation throughout ADIB.
  • Ensure continuous maintenance of training material (including role-based training) and upskilling on FATCA and CRS requirements and obligations to relevant staff across ADIB.
  • Continuously support the review of Business Units systems to ensure the sound capture of FATCA/CRS indicia.
  • Ensure the data accuracy and timely submission of the FATCA and CRS reporting expected by CBUAE and SCA on a yearly basis through their respective portal.
  • Provide complete, accurate, practical and timely advice, opinion or documentation for regulatory ad-hoc enquiries raised by the regulatory authorities.
  • Provide regulatory advisory on FATCA and CRS inquiries raised by Business Units/Branches system requirements and FATCA/CRS reporting.
  • Ensure continuous update of FATCA and CRS mandate to all units of business (Retail Individual, Business banking, WBG, Financial institutions) in line with the applicable regulation.
  • Participate in system enhancements regarding any regulatory update pertaining to implementation of FATCA and CRS.

Data Validation and Reporting:

  • Support in the preparation of MIS reports for internal regulatory affairs reporting, including Management Committees.
  • Support the preparation and maintenance of ADIB regulatory returns/reporting register and monitor adherence to defined due dates.
  • Ensure the continuous validation of the Regulatory Reporting suite applicable to Regulatory Affairs and support their template design if not provided by regulatory authorities.
  • Ensure reporting of material non-compliances/breaches in line with the prevailing policies in a timely manner.

Staff Ethical Behavior:

  • Demonstrate strong adherence to ADIB Conduct Risk Pillars and Code of Ethics in terms of transparency, integrity, confidentiality, respect and collaborative workplace.
  • Demonstrate strong adherence to ADIB ethical conduct framework in reporting any conflict of interest event or any witnessed behavior which breaches code of ethics to Human Resources.
  • Ensure to participate in the transparency and trust culture within the bank by reporting in good faith any concerns, misconduct or malpractice through the Whistleblowing framework.

Specialist Skills / Technical Knowledge Required for this role:

  • Advanced Degree in Finance, Business, or any related subject.
  • 5+ years of experience with International Reporting, including Taxation and specialist knowledge of FATCA/CRS regulations reporting and operationalization.
  • Ability to be independent and perform innovative thinking to solve complex problems with no established precedence while balancing risk, speed, and accuracy.
  • Exemplary knowledge of the UAE regulatory environment, regulatory structures, market practice and industry groups.
  • Good communication skills and ability to interact with various stakeholders throughout the bank. Ability to quickly acquire knowledge of new regulations, rules and their impact on business. Ability to adopt a problem-solving approach and autonomous work on dedicated tasks.
  • Strong interpersonal skills with the ability to communicate with impact, build healthy professional connections, influence outcomes, and simplify complex topics into actionable recommendations for decision-making.
Job Info
  • Job Identification: 2478
  • Posting Date: 11/12/2024, 06:37 AM
  • Apply Before: 12/12/2024, 06:36 AM
  • Locations: Abu Dhabi, Al Rowdah, Shk Rashid Bin Saeed St. 313 ADIB New Headquarters Branch, Sh. Zayed Main Branch Abu Dhabi United Arab Emirates, Abu Dhabi, AE
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Junior Compliance Officer

Abu Dhabi, Abu Dhabi International Securities L.L.C.

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Job Description

We are seeking a detail-oriented and motivated Junior Compliance Officer to join our compliance team.

The successful candidate will support the development, implementation, and monitoring of compliance programs to ensure the organization operates in line with regulatory requirements and internal policies.

Key Responsibilities

  • Support the preparation of compliance reports and documentation for internal and external stakeholders.
  • Conduct routine compliance checks, audits, and risk assessments.
  • Assist in responding to inquiries from regulators and internal departments.
  • Assist in the preparation, review, and submission of FATCA and CRS reports in accordance with applicable regulations.
  • Support the implementation of the firm’s AML framework , including monitoring, transaction reviews, and internal reporting.
  • Perform KYC checks and client due diligence for institutional and retail clients, ensuring compliance with regulatory requirements and internal policies.
  • Stay up to date with relevant regulatory updates and industry best practices.

Qualifications & Skills

  • Bachelor’s degree in law, Business Administration, Finance, or related field.
  • 2–5 years of experience in compliance, legal, audit, or risk management (internships or part-time roles considered).
  • Strong attention to detail with excellent analytical and problem-solving skills.
  • Ability to handle sensitive information with integrity and confidentiality.
  • CISI Certificates holder is preferred

What We Offer

  • Competitive salary, bonus and benefits package.
  • Training and career development opportunities.
  • Exposure to a wide range of compliance and risk management activities.
  • Collaborative and supportive team environment.
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