Overview
Senior Compliance Officer Jobs in Abu Dhabi Emirate, United Arab Emirates at Al Ramz PJSC (ALRAMZ:UH)
Title: Senior Compliance Officer
Company: Al Ramz PJSC (ALRAMZ:UH)
Location: Abu Dhabi Emirate, United Arab Emirates
Job Summary:
Al Ramz Corporation P.J.S.C. is seeking for a Senior Compliance Officer to join our growing team. The primary focus of this role will be to assist in ensuring the company operates within the law and meets regulatory requirements. The incumbent will assist in continuously assessing and identifying potential risks, evaluating these to ensure they are appropriately mitigated through properly implemented policies, procedures, systems and controls as well as providing the relevant training where needed. Risk and Compliance officer will act as the point of contact with the regulator and financial markets.
Key Responsibilities:
Ensure there is strict compliance with all applicable rules and regulations in the company.
Provide advice and recommendation on all matters relating to SCA and markets rules and regulations.
Provide support to the Compliance Manager in responding to violations of rules, regulations, policies, procedures and Code of Ethics and Business Conduct.
Liaise with External Regulators on the scope of reviews, issues and coordinate Management for appropriate responses or corrective action.
Coordinate the registration of employees on the regulator’s portals and ensure adherence by employees of the minimum requirements.
Continuously monitor and track Brokers’ pending orders in order reduce backlogs.
Provide support to the Senior team members in all periodic regulatory reporting and client onboarding process.
Support the Risk and Compliance team in designing, implementing and maintenance of the risk management framework within the company.
Review, monitor and update the operational risk observations and action plans.
Assist in analyzing assessment outcomes with the risk owners to formulate mitigation plans as necessary.
Support team members in documenting and updating company’s procedures for internal functions when needed.
Assist in maintaining risk registers.
Remain up to date on current regulatory and compliance changes.
Qualifications:
Mandatory to hold a minimum of Bachelor’s Degree in Finance or Accountancy. CIA, FRM, or CIA candidate desirable.
Minimum three (3) years’ experience in risk and compliance function obtained from Big 4 Firms or Financial Institution/Regulatory Agencies.
Competencies or Skills:
· Fluency in Arabic and English languages is a must.
· In-depth knowledge of regulations of DFM, ADX, Nasdaq Dubai, SCA and DFSA
· Good technical knowledge of financial services risk management practices
· Good analytical, judgmental, and interpretative skills
· Effective interpersonal verbal and written communication skills.
· Ability to liaise with all business activities with proactiveness and innovation.
If you meet above requirements, then please send your CV (which should include your nationality and current location) to [email protected]
Considering the high volumes of applications we receive, only shortlisted candidates for interviews will be contacted.
