عبد الله الدعيجي

Role Purpose
The role holder is responsible for Regulatory Affairs and Policy and accountable for communicating with the CMA and for the dissemination of letters and circulars to ensure implementation and for overseeing staff registrations. Incumbent will be required to impact assess new/amended regulations and follow through on implementation. Role holder also responsible for overseeing a robust Market Surveillance and E-Communication framework within the entity and engaging with Tadawal as required and managing and developing the surveillance team. Role will also take responsibility for approval of PAD, Conflict Management and Complaints. In addition to provide RC Advisory support to all Functions within THE ENTITY, this may include training, updating manuals, producing Compliance Charts and reviewing RCAs. Role holder will need to engage with stakeholders and actively participate in Governance forums and provide detailed updates.
Principal Accountabilities:
Key activities and decision making areas

Impact on the Business
· Accountable for reviewing the T&C’s of all related products within AMD.
· Accountable for communication with the regulators (CMA, IOF) regarding to the Staff registration:
v Accountable for compliance induction program for all new staff.
v Accountable for all staff registration with CMA, change their job titles and cancel their registrations.
v Accountable for all staff examination with IOF.

· Manage and monitor the Personal Account Dealing activities.
v Accountable for implement the new TADAWUL / Securities Depository Centre system to monitor the staff activities.
v Monitor the Staff Personal Account Dealing activities in Saudi Arabia.
v Responding to the PAD requests for all staff.

·Accountable for implementation of Compliance polices & procedures.
v Ensure applicable policies & procedures are implemented and communicated clearly and in a timely manner.
v Periodic reviews consistent with agreed plans and timescales
v Ensure that compliance polices at THE ENTITY intranet site is up to date.
v Keep abreast of changes in regulations for, the implementation / updating the relevant policies, DIMS / Manuals, Compliance Charts.
v Ensure that the Regulatory Compliance Standards are in accordance to Global Standards and best practices as per the guidelines set by the ENTITY Board.

· To implement the entity Saudi Arabia Compliance Policy and CMA Regulation across Saudi Arabia by advising the entity employees.
· Performed annually gap analysis exercise and comprehensive and remediation of corresponding action plans to meet the expected standards.
· To support, assist and guidance to line management of business to comply with all relevant external regulations, internal codes/policies and good market practice.
· Provide Compliance support to the business in implementing material regulatory change.
· Proactively assist management in identifying and containing compliance risk.
· Assist with any Group/regulatory reporting and ad-hoc projects as required.
· Interact, negotiate and reply with regulatory authorities such as CMA / Tadawul for business compliance-related matters.
· Following up CMA Announcements related to Business and releasing these to Business heads.
· Collaborate with the receiving party or the entity’s business functions to develop effective action plans to resolve compliance issues or requests raised by the relevant regulatory authority.
· Ensure maintenance of records related to compliance correspondence between THE ENTITY and regulatory authorities for future reference.
· Ensure all marketing and advertising materials are screened against regulatory and THE ENTITY International Standards and provides approvals.
· Provide periodic training to the business related to compliance to ensure that employees are well educated about the latest compliance procedures and best practices.
· Develop and provide Market Surveillance framework at the entity; provide advice and control for all Business/Functions and the entity’s staff on CMA market surveillance regulations.
· Escalate concerns and issues to management as appropriate to ensure timely awareness of any material concerns.
· Ensure the appropriate timely and relevant information is provided to management, Committees.


Customers / Stakeholders

· Interact with Senior Management team for escalating Compliance related issues/requests, if required.
· Interact with team for developing action plans and responses to regulatory authorities.
· Interact with the entity Global Group for enhancing and aligning the entity’s current business practice.
· Coordinate with CMA for responding or resolving any queries/issues.
· Network with the Regulatory Authorities to maintain relationships with the regulatory authorities, resolving any compliance related concerns and keep abreast of any new developments.


Leadership & Teamwork

· Communicate a clear vision for the function that is aligned to the overall THE ENTITY’s vision, Values and goals, and inspires and engages people to create an inclusive, high performing, customer-centred culture.
· Set expectations, share best practice and manage, monitor, coach and develop team members and others to ensure that they maximise their performance, meet the required standards, and continuously develop their capabilities and experience.
· Take ownership of issues and follow through to implementation
· Demonstrate core behaviors and values including ethics, teamwork, focus, drive and determination.
· Work collaboratively with business and Compliance colleagues, providing advice and guidance.
· Collaborate and foster good relations with other Compliance teams / colleagues.


Operational Effectiveness & Control

Maintain a robust and efficient control environment across RC Compliance function to ensure good operational, financial and project management and compliance with the entity’s policy and procedures, together with early identification and effective resolution or escalation of issues that arise.
· Lead the development, implementation and maintenance of RC management information, analysis and reporting framework that supports and informs timely and effective business management and decision making at all levels.
· Lead the implementation and oversight of RC policy and governance frameworks, procedures, practices and standards to ensure quality, effective risk management and regulatory compliance.



Major Challenges (The challenges inherent in the role that require a continual test of the role holder’s abilities)
· ability is required to support multiple business lines of Within THE ENTITY with the assistance of the RC teams in relation matters to ensure the overall environment in which the business operates is compliant to Regulatory Changes. The regulatory environment is ever changing and, therefore, the job requires a pro-active and innovative approach to risk management.
· In addition, the jobholder will be required to support in assessing the impact of local regulations and consultation papers.
· Effective written and personal communication across all levels of seniority, supporting the clear articulation recommendations and analysis
· Further enhance a compliance culture within the organization
· Effective time management and work prioritization
· Foster good relationships with the functions.
· Good Management skills to monitor the Staff Personal account dealings.
· Regulatory compliance to assist the senior management within the entity in achieving a balance between the demands of regulators, external bodies and governmental initiatives, business and ultimately the entity shareholders and customers; being aware of the political, management, regulatory and reputational implications of a particular decision and courses of action.

At presentI'mworkingasa SeniorManager -FinancialCrimes&MarketSurveillance.
 Leading investigations for Triage\IIR\EIR\Major andcomplex and filling SAR\STR with localauthoritieswhereapplicable.
 To determine the escalation to regulatory and internal breaches in order that appropriateaction canbeundertaken to rectify.
 Supporting/oversightingPerformanceofdailytradeandcommunicationssurveillance acrossbusinesslinesinCoveredBusiness. Toreducetheriskofmarketmanipulations.
 Supporting \Oversighting performance of Transactions monitoring SAS AML across all
business lines covered.
 assessment of referrals received via UAR, Case Intake Form, email, or external source
 identifyingandprioritizingreferralsreceivedwherespecialactionisrequired, e.g.:
WhereurgentactionisrequiredbasedonRegulatoryrequests. Staff-related referrals (internal investigations)
HSBC Confidential referrals
AB&C, Fraud suspicious activities.
 AssistwithcompliancetoGroupPolicyandPrinciples.Maintainrecords, updatecase historiesandliaisewithbranches/Regionsinrelationtothereviewofcustomer’s subjecttooneormorevalidatedAnomalousActivityReport.
 Implementing the Market Abuse\Sanctions screening\Fraud\Anti-Money laundry tax evasionpolicyandensurecontrolsimplementedeffectively.

Monitor orders and trades for HSBC’s clients, brokerage, mutual fund, and DPMs to mitigate any market abuse against CMA market conduct regulation.  Provide Market Surveillance advice and control for Businesses and functions in HSBC KSA  Accountable to develop and ensure a proper market surveillance framework within HSBC.  Work with line managers, applying expert knowledge in the area of Market Surveillance Compliance.
Monitor the brokerage activity.  CMA communication related to the Market surveillance  Maintain proper market surveillance compliance policies.  Adopt brokerage surveillance system and ensure its effectiveness.
 Support the FCC & RC in the achievement of the strategic operational objectives.  Manage and monitor the Personal Account Dealing policy and activity  Manage and monitor the Avaya recording calls across HSBC, include policy, procedures of the call recorded system within HSBC.  Managing, rectifying and reporting, as appropriate, compliance & reportable events.
Follow up personal account dealing for HSBC’ staff.  Create and update databases for all misconduct in different HSBC’s trading channels.  Train and provide guidance on the CMA market Surveillance conduct regulation.  Attend to any assignment requested by Head of Compliance conduct or Head of FCC&RC

Responsibilities:
•Participate in handling “Pending Compliance Verification” of the KYC process - review of KYC submitted forms and resolving KYC issues such as Preparing the required documents to High risk & Politically Exposed Persons clients (Enhanced Due Diligence, FATCA).
•Participate in the annual review & development of KYC Procedures Manual, AML Manual, Compliance Manual and Client Acceptance Policy.
•Participate in the development of AML procedures such as alerts, investigators, high risk assessments, etc.
•Participate in the development & imparting of training of staff for undertaking the KYC & AML processes.
•Participating in the upgrade of the Surveillance & AML system and review the alert parameters & reporting requirements.
•Participate in the clearing and document keeping of staff’s trading as per the Employee Trading Policy (ETP).
•Complete specific assignments dispensed by Head of Compliance.
•Participating in the CMA circulars Blocking/ Unblocking / Data requesting according to CMA instructions.
•Participate and follow up with other relevant parties regarding CMA instruction about suspicious trades.

*Responsibilities:
• Sell all Asset Management products: including Mutual funds, Discretionary Portfolio capabilities and Fiduciary Placements.
•Market all Asset Management products through appropriate channels e.g. direct sales, advertising, marketing campaigns, road shows, client meetings.
•Establish strong relationships with both existing and potential clients.
•Manage existing book of clients and relationships to deepen the relationship.
•Conduct Meetings sales call with SC Sales team to discuss and present an investment idea, •Assist in the preparation of marketing material, brochures presentations, and pitch books.
•Conduct training for SC retail teams.

Responsibilities:
IN SALES AND CONSULTANT ABOUT THE POTRFOILOES AND
SHARES THE LOCAL AND THE INERNATIONAL.
TO DISCRIPE THE RISKS THAT RELATED TO SPECIFIC KIND OF
PRODUCT AND THE RETURNS AMOUNG THE OTHER.
My commitment of providing quality service, supporting
and assisting customers in both good and difficult market
conditions and my compliance with laws and regulations.
In spite of the challenges arising out of the prevailing business
and financial conditions which were triggered by the global
financial crisis, to be able to sustain the leadership position by
being the prime choice for our customers.
CMA’s Anti-Money Laundering and Combating Terrorist Financing
Rules require that Authorized Persons to develop and implement
effective procedures to comply with the Rules. Each Business
Head must identify and understand the potential risks of money
laundering within his respective business area and implement
appropriate processes to mitigate such risks.