31 Regulatory Environments jobs in the United Arab Emirates

Executive - Regulatory & Compliance

Dubai, Dubai Apparel Group

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Objective:
The position is responsible for executing regulatory frameworks, licensing requirements, brand registrations, and statutory mandates across jurisdictions. The Executive – Regulatory & Compliance will coordinate documentation, assist with regulatory submissions, and ensure data accuracy and timely reporting in adherence to compliance standards.

Job Description
Objective:
The position is responsible for executing regulatory frameworks, licensing requirements, brand registrations, and statutory mandates across jurisdictions. The Executive – Regulatory & Compliance will coordinate documentation, assist with regulatory submissions, and ensure data accuracy and timely reporting in adherence to compliance standards.
Key Responsibility:
Regulatory Documentation & Submissions

  • Prepare, compile, and track regulatory documentation for product registrations, license renewals, and approvals with UAE authorities.
  • Maintain accurate dossiers and compliance records, ensuring completeness and timeliness for all brands.
Compliance Monitoring & Updates
  • Monitor and log regulatory changes in relevant GCC and UAE frameworks (ESMA, SFDA, DM, CBUAE, etc.) and support timely internal updates.
  • Assist in execution of internal spot checks and audits to ensure compliance with procedures and product standards.
Reporting & Tracking
  • Maintain compliance trackers, renewal schedules, and submission logs.
  • Generate periodic compliance status reports and dashboards for escalation as needed.
Cross-functional Coordination
  • Liaise with Merchandising, Quality, Logistics, and Legal teams to ensure adherence to labeling, packaging, and distribution regulations.
  • Coordinate with suppliers, testing labs, and vendors to collect Certificates of Compliance, test reports, and declarations.
Support Regulatory Audits & Inspections
  • Assist during regulatory inspections by compiling requested documentation, liaising with internal teams, and tracking audit responses.
  • Facilitate document requests and follow-ups from authorities.
Policy & SOP Adherence
  • Support review and updating of internal regulatory SOPs.
  • Escalate potential non-compliance issues and recommend corrective actions.
Desired Experience:
  • Bachelor’s degree in Law, Business Administration, Science, or related discipline.
  • 1–3 years of experience in regulatory affairs, compliance support, or documentation roles, ideally within retail, cosmetic, or FMCG sectors.
  • Proficient in Microsoft Office (Excel, Word) and experience using compliance or project tracking tools.
  • Excellent attention to detail, organizational skills, and record-keeping capabilities.
  • Strong communication skills and ability to coordinate with internal teams and external regulators.
Seniority level
  • Seniority levelEntry level
Employment type
  • Employment typeFull-time
Job function
  • Job functionBusiness Development and Sales
  • IndustriesRetail

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Dubai, Dubai, United Arab Emirates 21 hours ago

Regulatory Compliance & Assurance, Assistant Manager - Compliance (Emirati Talent)

Dubai, Dubai, United Arab Emirates 1 year ago

Ethics Compliance Officer (Arabic Speaker)

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Manager - Regulatory Compliance

Dubai, Dubai IQ-EQ

Posted 2 days ago

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Job Description

Responsibilities:

The Client Compliance Services department is responsible to provide Outsourced Compliance Officer and Money Laundering Reporting Officer (MLRO) services. The department also assists client companies of IQEQ DIFC in structuring matters and in fulfilling clients compliance responsibilities.

In addition, the Manager Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team, monitor their daily tasks, and coach them.

Tasks:

  • Contribute in designing and implementing the AML/CFT framework for specific clients;
  • Act as MLRO/Compliance Officer for IQEQ DIFC's client companies;
  • Attend board meetings to present MLRO/Compliance reports for IQEQ DIFC's client companies on at least an annual basis; receive, analyze, and report Suspicious Transaction Reports as appropriate;
  • Perform client file review or special investigations as required;
  • Liaise with DFSA, FSRA, and other regulatory bodies to assist clients in procuring regulatory approvals and related matters;
  • Provide AML/CFT training to directors and staff of client companies as appropriate;
  • Conduct AML/CFT risk assessments of all products, technology, and business practices of client companies as appropriate;
  • Analyze and disseminate the latest AML/CFT-related regulatory information to clients;
  • Provide basic advice and guidance to Onboarding Unit and Operational Compliance on specific compliance queries;
  • Provide Management Information to the Operational Risk Committee, GRACC, and Board as required;
  • Supervise and assess the Client Compliance Unit team's work and assignments, assist in building capabilities, and allocate resources within the Client Compliance Unit team;
  • Conduct staff appraisals and recommend career development plans to the Senior Executive Officer;
  • Ensure protection of information assets of IQEQ DIFC and abide by the ISMS in place at IQEQ DIFC.

Qualifications:

Education / Professional Qualifications:

  • A degree from a reputable university, preferably in the field of law, finance, or financial services, or directly related to compliance functions.

Background Experience:

  • At least 8-10 years of experience in the financial services sector, with preference given to experience in compliance.

Technical:

  • Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer.

Additional Information:

At IQEQ, we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations, with a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Remote Work:

No

Employment Type:

Full-time

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Regulatory Compliance Manager (Crypto)

Revolut

Posted 1 day ago

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Job Description

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Recruitment Sourcer @Revolut | Identifying top Talent for UK’s most valuable Fintech

About Revolut

People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products — including spending, saving, investing, exchanging, travelling, and more — help our 60+ million customers get more from their money every day.

As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work. So far, we have 10,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution.

About the role

Compliance is a key team that ensures Revolut’s products and processes meet regulatory requirements and translate this into the best customer outcomes.

With our investment product offering expanding, so is our Compliance team. We're looking for a Regulatory Compliance Manager to lead the implementation of regulatory frameworks around crypto. You‘ll be advising on compliance requirements and related controls. Be warned, this is a very hands-on role.

Up for the challenge? Let’s get in touch.

What you'll be doing

  • Working across departments to develop and execute a world-class compliance framework, monitoring, and training programme
  • Supporting our regulatory licence applications
  • Monitoring, testing, and reporting on the effectiveness of our regulatory architecture
  • Drafting, implementing, and rolling out compliance plans, frameworks, and policies across a company or department
  • Participating in product launches, providing expert regulatory advice to support the Operations team to fully comply with local regulations
  • Supporting the Head of Compliance in rolling out a robust compliance programme for the company

What you'll need

  • The ability to work well under pressure, manage multiple projects at once, and meet tight deadlines
  • Knowledge of how to conduct regulatory gap analysis
  • Experience creating and implementing policies
  • A solid understanding of the interplay between compliance risk and business risk
  • The ability to communicate positively with regulators and members of various internal teams
  • Multitasking skills with close attention to detail
  • Excellent analytical, communication, and interpersonal skills
  • Experience in compliance risk management within a consultancy, compliance function, or regulator

Building a global financial super app isn’t enough. Our Revoluters are a priority, and that’s why in 2021 we launched our inaugural D&I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We’re doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That’s why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team.

Important notice for candidates:

Job scams are on the rise. Please keep these guidelines in mind when applying for any open roles.

• Only apply through official Revolut channels. We don’t use any third-party services or platforms for our recruitment.

• Always double-check the emails you receive. Make sure all communications are being done through official Revolut emails, with an @revolut.com domain.

We won't ask for payment or personal financial information during the hiring process. If anyone does ask you for this, it’s a scam. Report it immediately.

By submitting this application, I confirm that all the information given by me in this application for employment and any additional documents attached hereto are true to the best of my knowledge and that I have not wilfully suppressed any material fact. I confirm I have disclosed if applicable any previous employment with Revolut. I accept that if any of the information given by me in this application is in any way false or incorrect, my application may be rejected, any offer of employment may be withdrawn or my employment with Revolut may be terminated summarily or I may be dismissed. By submitting this application, I agree that my personal data will be processed in accordance with Revolut's Candidate Privacy Notice

Seniority level
  • Seniority levelMid-Senior level
Employment type
  • Employment typeFull-time
Job function
  • Job functionFinance

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Sign in to set job alerts for “Regulatory Compliance Manager” roles.Compliance Project Coordinator - CEO OfficeAssociate Manager, Customer Service – Commercial Partner - MEABusiness Development Manager (FX & CFD) - UAE

Abu Dhabi, Abu Dhabi Emirate, United Arab Emirates 1 month ago

Senior Technical Product Manager, Risk Platform

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Expert Regulatory Compliance Professional

Dubai, Dubai beBeeCompliance

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Regulatory Compliance Manager

We are seeking a seasoned Regulatory Compliance Expert to spearhead effective risk mitigation strategies in our rapidly growing organization.

This high-profile role will work closely with the UAE Compliance Lead to ensure seamless implementation of regulatory compliance frameworks, leveraging extensive knowledge of state money transmission license requirements, consumer regulations, and internal policies.

Key Responsibilities:
  • Provide authoritative guidance on regulatory compliance best practices, monitoring adherence to Wise policies and procedures.
  • Develop and maintain the Regulatory Compliance oversight framework, incorporating updates to relevant UAE Regulatory Compliance policies and procedures.
  • Conduct regular audits across key risk areas, offering constructive challenge to first-line teams on control development and implementation.
  • Represent regulatory compliance oversight internally and externally, engaging with regulators, auditors, and partners.
About You:
  • Prior experience in Financial Regulation advisory roles or Compliance/Legal departments, Risk and Controls functions, or consultancy environments.
  • Law degree or certification in regulatory compliance, preferably.
  • Familiarity with CBUAE, DFSA, FSRA (or other GCC regulators) regulations, particularly in the Payments sector.
  • Able to analyze complex regulatory frameworks, apply them effectively, and drive business decisions using data and regulation.
  • Strong presentation skills, problem-solving attitude, and ability to use regulations together with data to inform strategic choices.
Benefits:
  • Competitive compensation package
  • Opportunities for professional growth and development
  • Collaborative and dynamic work environment

Suitable candidates will possess a deep understanding of regulatory compliance principles and be able to leverage this expertise to drive business success.

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Senior Regulatory Compliance Specialist

Dubai, Dubai beBeeRegulatory

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Job Description

This role is centered around ensuring regulatory compliance for all aspects of importing or exporting. The ideal candidate will have a broadened conceptual and working knowledge in job discipline to perform a range of work assignments. They will use prescribed guidelines or policies in analyzing situations and receive a moderate level of guidance and direction.

Main Responsibilities:

  • Manage import or export related operational issues.
  • Understand the legal framework and policy restrictions for export or import control regimes and maintain processes for appropriate government agencies and system routines to comply.
  • Serve as a contact point for businesses and other functions for advice and assistance in case of non-standard import/export-related operational issues or questions.
  • Implement new procedures/changes relative to outcome of e.g. government audits and new regulations.
  • Investigate regulatory implications for new business flows/material flows.
  • Request licenses and ensure compliance with the conditions in the licenses.

Required Skills and Qualifications:

  • A university degree preferably in Supply Chain Management, Business Engineering, or other Sciences.
  • 3-6 years of experience in a Supply Chain or Manufacturing environment.
  • Critical competencies required for success include: supply chain management skills, interpersonal effectiveness, understanding customer needs, single work process activities and interactions, team work, taking initiative, problem solving skills, value creation, technical proficiency in use of computer applications, analytical skills, and project management skills.

Benefits:

  • Equitable and market-competitive base pay and bonus opportunity across our global markets along with locally relevant incentives.
  • Benefits and programs to support physical mental financial and social well-being to help employees get the care they need it.
  • Competitive retirement program that may include company-provided benefits savings opportunities financial planning and educational resources to help employees achieve their long-term financial goals.
  • Employee stock purchase programs (availability varies depending on location).
  • Student Debt Retirement Savings Match Program (U.S. only).
  • Robust medical and life insurance packages that offer a variety of coverage options to meet individual needs. Travel insurance is also available in certain countries/locations.
  • Opportunities to learn and grow through training and mentoring work experiences community involvement and team building.
  • Workplace culture empowering role-based flexibility to maximize personal productivity and balance personal needs.
  • Competitive yearly vacation allowance.
  • Paid time off for new parents (birthing and non-birthing including adoptive and foster parents).
  • Paid time off to care for family members who are sick or injured.
  • Paid time off to support volunteering and Employee Resource Groups (ERG) participation.
  • Wellbeing Portal for all employees our one-stop shop to promote wellbeing empowering employees to take ownership of their entire wellbeing journey.
  • On-site fitness facilities to help stay healthy and active (availability varies depending on location).
  • Employee discounts for online shopping cinema tickets gym memberships and more.
  • Additionally some of our locations might offer: transportation allowance (availability varies depending on location), meal subsidiaries/vouchers (availability varies depending on location), carbon-neutral transportation incentives e.g. bike to work (availability varies depending on location).

About Us:

We deliver innovative products and solutions that make a real difference in people's lives. Our commitment to sustainability enables us to achieve profitable growth and help deliver a sustainable future.

Equal Opportunities:

We are committed to equal opportunities in employment and encourage every employee to bring their whole self to work each day to not only deliver more value but also have a more fulfilling career.

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Senior Financial Analyst - Regulatory Compliance

Dubai, Dubai beBeeAccountant

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Job Description:

We are seeking a highly skilled Accounting and Tax professional to join our team. As a key member of our organization, you will play a vital role in ensuring compliance with financial regulations and providing expert advice on complex accounting and taxation matters.

Your primary responsibility will be to review financial models prepared by clients to ensure compliance with relevant laws and regulations. This will involve working closely with expert financial modellers to ensure that they understand and accurately apply the correct accounting and taxation principles to calculations.

You will also be responsible for providing detailed and relevant accounting and taxation advice on calculations and the appropriate application of regulations and principles across a wide variety of financial models used to represent commercial transactions.

Required Skills and Qualifications:
  • A recognized accounting qualification with broad work experience and commercial awareness
  • A recognized tax qualification in KSA taxation
  • An effective communicator who can explain ideas and concepts to non-accounting or non-tax qualified colleagues and clients
  • A team player able to work under pressure
  • Experience of providing financial advice to clients in either a corporate or public body context
  • A self-motivated and confident individual able to work independently
Benefits:
  • A competitive base salary
  • Flexible working arrangements, including a mixture of office-based, working from home, and working on client sites
  • Significant opportunities for professional growth and development as we expand
  • Access to cutting-edge financial modelling tools and resources
  • A collaborative and supportive team culture
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Senior Regulatory Compliance Executive (Arabic Speaking)

Dubai, Dubai Deriv.com

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Senior Regulatory Compliance Executive (Arabic Speaking)

Dubai, United Arab Emirates | Posted on 19/03/2025

At Deriv, you'll be at the forefront of our compliance efforts, navigating the complex and ever-evolving landscape of financial regulations. As a Senior Regulatory Compliance Executive with Arabic language skills, you'll tackle the challenge of ensuring our operations remain compliant across multiple jurisdictions while supporting our innovative product development. Your expertise in Arabic-speaking markets will be instrumental in our expansion efforts, safeguarding both our customers and our business while upholding our reputation for regulatory excellence.

On a given day, you will:

  • Monitor and analyse regulatory developments at international, EU, and local levels where Deriv operates or plans to expand.
  • Interpret new regulatory requirements with a particular focus on investment services regulation surrounding CFDs.
  • Create, maintain, and implement compliance-related policies that safeguard our operations.
  • Conduct internal compliance reviews and perform legislative gap analysis to identify potential areas of risk.
  • Execute compliance monitoring programmes to ensure timely adherence to regulatory standards.
  • Support the implementation of internal controls and facilitate both internal and external audits.
  • Prepare comprehensive management presentations on regulatory developments and potential challenges.
  • Submit critical regulatory reports related to CRS, FATCA, MiFIR, and EMIR.
  • Collaborate with teams to review and assess compliance business risk assessments.
  • Communicate complex regulatory requirements in both Arabic and English to various stakeholders.
  • Leverage AI-driven tools to enhance compliance monitoring, automate risk assessments, and improve regulatory reporting efficiency.

You may enjoy working with us if you:

  • Thrive in a dynamic environment where regulatory challenges evolve constantly.
  • Enjoy translating complex regulatory language into practical business solutions.
  • Find satisfaction in protecting a business while enabling its growth.
  • Appreciate working in a multicultural team with global impact.
  • Value being at the intersection of innovation and compliance in the fintech space.
  • Take pride in your attention to detail and analytical thinking.
  • Are passionate about developing your expertise in international financial regulations.

We would love to work with you if you:

  • Hold an undergraduate degree in legal, compliance, or a related field.
  • Bring 5+ years of experience in regulatory compliance, audit, or risk functions.
  • Possess excellent spoken and written Arabic and English communication skills.
  • Have knowledge of investment services regulations.
  • Demonstrate strong interpersonal skills and can work effectively with all levels of personnel.
  • Excel at managing multiple projects with tight deadlines.
  • Bring a high degree of integrity and maturity to your professional interactions.
  • Have experience in a fintech organisation (beneficial).
  • Have worked on European regulatory compliance projects (beneficial).
  • Have experience or enthusiasm for embracing AI technologies.

We pay competitive salaries based on your skills, qualifications, experience and market rates. Additionally, you'll be eligible for an annual bonus based on individual and company performance.

When you join Deriv, you will be supported in growing your career in our company. You can expect to have a personalised Learning and Development programme as well as the costs covered for relevant professional development and education related to advancing your career at Deriv.

You'll be based at our modern office in Dubai's prestigious Business Bay, a key centre for Deriv's Middle Eastern operations. Our Dubai office is home to over 200 talented professionals from diverse nationalities, creating a truly global workplace. You'll thrive in an expat-friendly environment that celebrates diversity and encourages cross-cultural collaboration, with regular knowledge-sharing sessions and team events.

Ready to shape the regulatory landscape of online trading? If you're passionate about navigating complex compliance challenges while enabling business growth in a global fintech environment, we want to hear from you. Your expertise in Arabic and regulatory compliance could help drive Deriv's continued success and expansion across new markets.

Deriv is an equal opportunity employer committed to diversity and inclusion. We take pride in our Great Place to Work and IIP Platinum certifications, which reflect our commitment to creating an exceptional work environment. Join us and help build the future of online trading while working alongside top talent from over 80 nationalities.

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Senior Manager, MENAT Regulatory Compliance - IWPB

HSBC

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Job Description

Some careers prize diversity more than others.
If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.

The Regulatory Compliance function is a Second line of defence (LOD) function that includes "Risk Stewards" who are independent of the commercial risk-taking activities undertaken by the Group’s businesses (also referred to as "the First LOD"). These Risk Stewards are responsible for reviewing and challenging the activities of the First LOD to ensure that, as "Risk Owners", they effectively manage the regulatory compliance risks inherent in, or arising from, the conduct of their activities and for which they are responsible. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF).

Role:
In this role, you will report to the Regional Head of Financial Crime and Regulatory Compliance IWPB MENAT and will be responsible for ensuring that Regulatory Compliance in iWPB MENAT is effective in identifying, managing, and mitigating Regulatory Compliance risks, and that timely advice is provided to the iWPB business.

The role requires strong partnership with the iWPB business and country regulatory compliance risk stewards to drive and accelerate the execution of Regulatory Compliance programmes that directly impact business performance. This role is accountable for implementing policies into the iWPB business and will require close collaboration with various Risk and iWPB business functions.

Key Accountabilities and Responsibilities:

  • Provide advisory services to iWPB to ensure a clear understanding of Regulatory compliance risk exposure regarding clients, transactions, and products. Assist senior management in decision-making and meeting strategic objectives.
  • Strengthen iWPB’s knowledge of risk and compliance management by incorporating these considerations in all activities to protect and enable business activities through robust risk management.
  • Support iWPB Compliance Advisory teams in MENAT in discharging their responsibilities.
  • Discharge responsibilities in accordance with the Group's management structure, governance, and Risk Management Framework.
  • Promote fair conduct standards to ensure HSBC delivers fair outcomes for customers, aligns remuneration structures with appropriate conduct, and maintains orderly, transparent financial markets.
  • Foster a strong risk, control, and compliance culture.
  • Champion a culture that prioritizes fair treatment of all customers, including vulnerable or changing needs, supported by governance, processes, and systems.
  • Leadership & Teamwork: Promote a ‘speak-up’ culture, work collaboratively with compliance professionals and senior executives, and contribute to a diverse and inclusive work environment.
  • Implement the Group’s performance management and reward strategies aligned with responsible risk and compliance management.
  • Operational Effectiveness and Control: Ensure policies and procedures are updated for regulatory changes, resolve issues promptly, escalate concerns appropriately, and maintain HSBC control standards and compliance policies.
  • Maintain awareness of operational risks, identify, assess, mitigate, and report them.
  • Functional Knowledge: Stay updated on industry developments, understand the iWPB business and regulatory environment, and adapt activities based on risks, business needs, and strategy.
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Senior Manager, MENAT Regulatory Compliance - IWPB

HSBC

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Job Description

Some careers prize diversity more than others.
If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.

The Regulatory Compliance function is a Second line of defence (LOD) function that includes "Risk Stewards" who are independent of the commercial risk-taking activities undertaken by the Group’s businesses (also referred to as "the First LOD"). These Risk Stewards are responsible for reviewing and challenging the activities of the First LOD to ensure that, as "Risk Owners", they effectively manage the regulatory compliance risks inherent in, or arising from, the conduct of their activities and for which they are responsible. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF).

Role:
In this role, you will report to the Regional Head of Financial Crime and Regulatory Compliance IWPB MENAT and will be responsible for ensuring that Regulatory Compliance in iWPB MENAT is effective in identifying, managing, and mitigating Regulatory Compliance risks, and that timely advice is provided to the iWPB business.

The role requires strong partnership with the iWPB business and country regulatory compliance risk stewards to drive and accelerate the execution of Regulatory Compliance programmes that directly impact business performance. This role is accountable for implementing policies into the iWPB business and will require close collaboration with various Risk and iWPB business functions.

Key Accountabilities and Responsibilities:

  • Provide advisory services to iWPB to ensure a clear understanding of Regulatory compliance risk exposure regarding clients, transactions, and products. Assist senior management in decision-making and meeting strategic objectives.
  • Strengthen iWPB’s knowledge of risk and compliance management by incorporating these considerations in all activities to protect and enable business activities through robust risk management.
  • Support iWPB Compliance Advisory teams in MENAT in discharging their responsibilities.
  • Discharge responsibilities in accordance with the Group's management structure, governance, and Risk Management Framework.
  • Promote fair conduct standards to ensure HSBC delivers fair outcomes for customers, aligns remuneration structures with appropriate conduct, and maintains orderly, transparent financial markets.
  • Foster a strong risk, control, and compliance culture.
  • Champion a culture that prioritizes fair treatment of all customers, including vulnerable or changing needs, supported by governance, processes, and systems.
  • Leadership & Teamwork: Promote a ‘speak-up’ culture, work collaboratively with compliance professionals and senior executives, and contribute to a diverse and inclusive work environment.
  • Implement the Group’s performance management and reward strategies aligned with responsible risk and compliance management.
  • Operational Effectiveness and Control: Ensure policies and procedures are updated for regulatory changes, resolve issues promptly, escalate concerns appropriately, and maintain HSBC control standards and compliance policies.
  • Maintain awareness of operational risks, identify, assess, mitigate, and report them.
  • Functional Knowledge: Stay updated on industry developments, understand the iWPB business and regulatory environment, and adapt activities based on risks, business needs, and strategy.

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Senior Manager, MENAT Regulatory Compliance - IWPB

HSBC Recruitment

Posted 1 day ago

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Senior Manager, MENAT Regulatory Compliance - IWPB

Join to apply for the Senior Manager, MENAT Regulatory Compliance - IWPB role at HSBC Recruitment

Senior Manager, MENAT Regulatory Compliance - IWPB

Join to apply for the Senior Manager, MENAT Regulatory Compliance - IWPB role at HSBC Recruitment

Job Description
Some careers prize diversity more than others.
If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.
The Regulatory Compliance function is a Second line of defence (LOD) function that includes ”Risk Stewards” who are independent of the commercial risk-taking activities undertaken by the Group’s businesses (also referred to as “the First LOD”). These Risk Stewards are responsible for reviewing and challenging the activities of the the First LOD to ensure that, as “Risk Owners”, they effectively manage the regulatory compliance risks inherent in, or arising from, the conduct of their activities and for which they are responsible. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF).
Role:
In this role you will report into the Regional Head Financial Crime and Regulatory Compliance IWPB MENAT and will be responsible for ensuring that Regulatory Compliance in iWPB MENAT are effective in identifying, managing and mitigating Regulatory Compliance risks and ensure timely advice is provided to the iWPB business.
The role requires strong partnership with the iWPB business and country regulatory compliance risk stewards to drive and accelerate the execution of Regulatory Compliance programmes that directly impact business performance. This role is accountable for the implementation of policies into the iWPB business and as such it will require close collaboration with various Risk and iWPB business functions.
Key Accountabilities And Responsibilities

  • Provide advisory services to iWPB in order to ensure clear understanding of Regulatory compliance risk exposure with respect to clients, transactions and products. Assist senior management decision making and meeting their strategic objectives.
  • Strengthen iWPB’s knowledge of risk and compliance management by incorporating risk and compliance considerations in all activities undertaken to protect and enable the business’ activities through a robust risk management understanding.
  • Support iWPB Compliance Advisory teams in MENAT in discharging their responsibilities.
  • Discharge their responsibilities in a manner consistent with the Group's management structure and operating model, governance, and Risk Management Framework.
  • Promote fair conduct standards to ensure HSBC delivers fair outcomes for customers, remuneration structures incentivise/reward appropriate conduct/behaviours and does not disrupt the orderly and transparent operation of financial markets.
  • Fosters a strong risk and control and compliance culture.
  • Champion a culture that prioritises the fair treatment of all customers, including particular attention to those who are vulnerable or have changing needs, whilst also ensuring that governance, processes and systems support staff to meet the needs of all customers. Leadership & Teamwork
  • Promote a ‘speak-up’ culture.
  • Work collaboratively as part of a team of Compliance Advisory professionals; and with senior executives within iWPB.
  • Contribute to a diverse and inclusive work environment that engenders teams and colleagues to succeed and meet career aspirations.
  • Implement the Group’s performance management and reward strategies, promoting sustainable business growth and allocating rewards that align to responsible risk and compliance management. Operational Effectiveness and Control
  • Ensure all policies, procedures, principles, and dispensations, etc. are updated for changes in Regulation and impacts on iWPB.
  • Resolve any/all identified issues promptly and escalates concerns to management as appropriate to ensure timely awareness of any material concerns.
  • Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal/external auditors and external regulators. Maintain awareness of operational risk within assigned portfolio and minimise the likelihood of it occurring including its identification, assessment, mitigation and control, loss identification and reporting. Functional Knowledge
  • Remains up to date on latest industry developments (e.g. technology, regulatory); enable teams to incorporate improvements to drive towards operational excellence.
  • Broad and deep understanding of iWPB business, including a deep understanding of wealth and investment products. Understands regulatory rules and laws, industry issues, business operations and priorities
  • Identifies major changes in regional / country-specific regulatory / statutory norms and ensure these are implemented. Understands impact of macroeconomic trends, continuously adapting RCs’ support and activities based on risk, business needs and Group’s strategy.
Requirements
In order to apply for this role, you must have the following:
  • A bachelor’s degree is required to secure a work permit in the UAE.
  • Extensive experience working in a Lead Compliance role, with a focus on International wealth and private banking.
  • Strong experience and knowledge of wealth and investment products and the associated regulatory and conduct risk management is required.
  • Leadership experience, Management responsibilities for a sizeable team of professionals (including responsibility for budget, and planning)
  • Covers a wide range of activities that require evaluative judgements based on the analysis of factual and qualitative information in complicated perhaps novel situations
  • Latitude to make decisions outside of established procedures but within a policy framework. Broad guidelines are available. Role implements strategy set by others.
  • The role requires the ability to negotiate and influence within their team with a high level of influence.
  • Implements business plans through own team and is accountable for results.
Seniority level
  • Seniority levelNot Applicable
Employment type
  • Employment typeFull-time
Job function
  • Job functionFinance and Sales
  • IndustriesBanking, Financial Services, and Investment Banking

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