Fatima AL Zaabi

∼ Manager of Market Operations (Oct2009 -Jul 2013)

• Managed project on:
∼ Electronic workflow for all the department processes & operations,
∼ Electronic archiving system for the department correspondences with stakeholders.
∼ Electronic services for stakeholders to ease the services & accelerate the processes.
• Developed Risk Management compliance Manual on brokerage firms.
• Developed Emiritization program to promote UAE nationals to join the broking fields.
• Conducted various training sessions to stakeholders.
• Planned and Organized events for brokerage firms.
• Ensured that all functions to be undertaken by section have been allocated to responsible people and are aptly completed with no functions left undone or unaccounted for.

∼ Acting Manager of Market Operations (Mar2009 - Sep2009)

Roles of Acting Manager:
•Conducted various training sessions to stakeholders.
• Directed and trained employees under the supervision in performing their tasks and in resolving problems they encounter in their jobs.
• Assisted in setting quality control procedures to enhance the services provided by operations Dept.
• Provide direction, supervision and training to employees in performing tasks and solving problems encountered.
• Develop, maintain and ensure compliance with policies and procedures set for the Registration and Compliance function.
• Provide head of department with regular reports and management information relating to the business of their section.
• Ensure the provision and distribution of all necessary information to other functions in an accurate and timely manner.
• Prepare and conducts performance evaluations of staff under their supervision.
• Ensure that co-ordination and communication is maintained at ADX through directing staff and enhancing working relationships with other sections.
• Assist in the preparation of ADX budget based on the requirement of section under their supervision including staff, materials and equipment.
• Approve expenses and overtime for employees working under their supervision.

∼ Broker Liaison Specialist (Oct 2005 - Feb2009)

Role as Broker Liaison Specialist:

• Attended & resolved broker complaints and queries.
• Developed and maintained compliance with policies & procedures set for the compliance and operations function.
• Investigated follow-up action on compliance and alleged misconduct, as necessary, in line with ADX rules and procedures.
• Conduct training sessions for broker dealer and awareness session for brokerage firms compliance staff.
• Maintain and preserves the confidentiality of Compliance files.

∼ Broker Liaison Officer (Sep 2000 - Sep2005)


Role as Broker Liaison Officer:

• Processed brokers' applications for access to the trading and settlement facilities.
• Maintained updated and accurate brokerage firms and employees database.
• Conducted examinations for brokers' representatives.
• Liaised with compliance employee that the ADX rules and regulations relating to brokers remain relevant.

• General Pension & Social Security Authority, Abu Dhabi, UAE, Accountant (Aug1999 -Mar 2000)