Manager- Compliance - Surveillance
Manager- Compliance - Surveillance
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Job Description
JOB PURPOSE:
First Abu Dhabi Bank PJSC is the largest bank in the United Arab Emirates and one of largest global financial institutions. Through its strategic offerings it looks to meet the banking needs of customers across the world via its marketleading Corporate and Investment Banking and Personal Banking franchises. FAB Securities LLC (FABS) is a subsidiary of First Abu Dhabi Bank PJSC and a licensed brokerage company.
The incumbent will be a member of the Compliance Surveillance function within Group Compliance. The purpose of the role is to support the Head of Surveillance to:
- ensure that daytoday surveillance activities are executed per agreed procedures;
- progress the enhancement of surveillance controls and process;
- help uphold fair and orderly financial markets and fulfilling regulatory requirements; and act as an independent partner to the First Line of Defence to endorse a solid culture of compliance.
KEY ACCOUNTABILITIES:
Strategic Contribution
- Surveillance is a growing area within FAB so the incumbent will be expected to have entrepreneurial flare in taking surveillance to a global best practice level.
- The Manager will execute both trade and communication surveillance using tools developed by vendors such as Bloomberg and TradingHub along with internal or manual controls where required.
- BAU will involve ensuring ongoing governance and oversight of surveillance controls ensuring they remain fit for purpose and building and maintaining robust relationships with key stakeholders ensuring robust oversight of trade and communication alerts.
Policies Systems Process and Procedures
Procedural documentation will need to be reviewed and updated periodically and alerts and other forms of automated oversight will need to be calibrated for optimisation.
Qualifications :
Minimum Experience
- A minimum of 3 years experience in a Compliance Surveillance role.
- Good understanding of market abuse risks and international regulations.
- Good understanding of automated surveillance tools and platforms.
- Understanding of traded products and markets an advantage.
- Strong analytical skills and ability to support decisions with sound reasoning.
- Fluent in English. Proficiency in other languages may be beneficial.
- Comfortable and competent to work without direct supervision.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
