Lina Assaf, Compliance Manager

Lina Assaf

Compliance Manager

SHUAA capital

Location
Saudi Arabia - Riyadh
Education
Bachelor's degree, Marketing
Experience
19 years, 8 Months

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Work Experience

Total years of experience :19 years, 8 Months

Compliance Manager at SHUAA capital
  • Saudi Arabia - Riyadh
  • My current job since April 2018
Legal Consultant at Coreach
  • Saudi Arabia - Riyadh
  • October 2016 to April 2018
Senior Compliance & MLRO at Saudi Hollandi capital
  • Saudi Arabia - Riyadh
  • February 2014 to September 2016

Compliance

Compliance and AML officer at Aloula Geojit Capital
  • Saudi Arabia - Riyadh
  • May 2008 to January 2014

• 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 at Centria mall
  • Saudi Arabia - Riyadh
  • April 2006 to April 2008

Manage & Service sales

customer service at Private Office
  • Saudi Arabia - Riyadh
  • September 2004 to March 2006

customer service

Education

Bachelor's degree, Marketing
  • at King abd alaziz al saud university
  • May 2013

Business administration college

Specialties & Skills

Banking
Compliance
Organizational
Computer & MC Office, word, excel, power point, internet
Filling

Languages

Arabic
Expert
English
Intermediate

Training and Certifications

CMA Advanced Certificate in Compliance (Certificate)
Date Attended:
September 2013
Valid Until:
September 2013
CMA Advanced Certificate in AML (Certificate)
Date Attended:
September 2013
Valid Until:
September 2013
CME-2 (Certificate)
Date Attended:
June 2013
Valid Until:
June 2013
CME-3 (Certificate)
Date Attended:
March 2013
Valid Until:
March 2013
Tadawul (Certificate)
Date Attended:
October 2012
Valid Until:
October 2012
ICDL (Certificate)
Date Attended:
June 2010
Valid Until:
July 2010
(Certificate)
Date Attended:
May 2012
Valid Until:
July 2012
General Securities Qualification Certificate (CME1) part (1-2) (Certificate)
Date Attended:
January 2010
Valid Until:
January 2010