Compliance Manager
SHUAA capital
مجموع سنوات الخبرة :19 years, 8 أشهر
Compliance
• Providing specialist input and regulatory guidance to all staff on legislation, policies and code of conduct pertaining to the business.
• Assist in the implementation and executing a Compliance program to test compliance of internal policies and procedures.
• Reviewing regulatory publications that have impact on the business, producing a summary of the implications to the business and liaising with the relevant head of department responsible for those areas affected by the publication to ensure business processes and practices have been revised to accommodate any new or revised rules.
• Facilitating the implementation of any new regulations
• Developing communication tools to raise compliance awareness and help embed compliance into the business culture
• Working with the function heads to identify and correct control and regulatory deficiencies issues together with follow up action and reporting responsibilities.
• Providing specialist input and regulatory guidance to all staff on legislation, policies and code of conduct pertaining to the business.
• Communicating and liaising with regulators and the Legal Officer on a regular basis to ensure that current best practice is known and communicated.
• Reviewing regulatory publications that have impact on the business, producing a summary of the implications to the business and liaising with the relevant head of department responsible for those areas affected by the publication to ensure business processes and practices have been revised to accommodate any new or revised rules.
• Facilitating the implementation of any new regulations
• Developing communication tools to raise compliance awareness and help embed compliance into the business culture
• Working with the function heads to identify and correct control and regulatory deficiencies issues together with follow up action and reporting responsibilities.
• Assisting in the coordination of regulatory inspections with Legal/Compliance and business management.
• Reviewing new products and business processes, and highlighting relevant issues pertaining to compliance, providing appropriate solutions and ensuring that regular checks are made as to the appropriateness of products.
• Undertaking specific compliance reviews as and when required, for example reviewing client accounts or individual business units, to ensure compliance with the external regulators and internal policies and procedures.
• Reviewing and approving all financial promotional literature
Manage & Service sales
customer service
Business administration college