Compliance
Advanced Technology Company
Total des années d'expérience :13 years, 8 Mois
-Create and manage effective action plans in response to compliance violations.
-Communication with CMA via portal, calls and filed inspections.
-Conduct assessment of regulatory compliance
-Registered with CMA as internal audit officer.
-Board Secretary - Synergy Corporation (subsidiary of AREF)
-Receiving & following - up all incoming & outgoing correspondences from/to all regularities
(Maintain communications with regulatory authorities).
-Collaborating with other departments to direct compliance issues to appropriate existing channels for investigation and resolution
-Providing reports on a regular basis, and as directed or requested, to keep the senior management informed of the operation and progress of compliance efforts.
-Holding ordinary and extra ordinary Annual General Assembly meetings
-Ensure that all employees are in compliance with the rules and regulations of regularities, that company policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct
-Handling all corporate governance issues
- arranging all media related issues.
-Execute the annual compliance review plan.
-Coordinate with regulatory inspectors to advise and direct compliance issues to appropriate existing channels for investigation and resolutions.
-Provide general guidance on how to avoid potenial areas of compliance risk.
-Receiving & following - up all incoming & outgoing correspondences to & from the following entities:
Central Bank of Kuwait (CBK)
Kuwait Stock Exchange (KSE)
Capital Market Authority (CMA)
All Ministries
All Legal entities
banks
-Preparing monthly and quarterly reports to the mentioned entities
-Preparing off - balance sheet items
-Uploading and posting any purchase or sell transaction on the system
-Updating all Murabaha transactions status
-Submitting the CBK reports through the CBK online system
-Preparing internal memos
-Compliance with CMA
-Liaise with banks for change in signatory authorities
-Address shareholders/ client queries
-Closing portfolios
-Act as a custodian
-Conduct stocktaking for the company and for the shares certificates.
-Analyzing monthly CRM reports
-Looking for new opportunities
-Studying the market & the competitors
-Arranging events & seminars
-Participating in Acquisition promotions
All types of Admin work
-Working in a brokerage firm was a good and interesting experience as I learned how to deal with different types of clients and handle their concerns and complaints. Other duty was to participate in marketing campaigns. In addition, I got an exposure to the international market (Forex trading)
-My work experience in Kab Kuwait enriched my interpersonal skills, which enables me to blend easily in any environment. I've gained a valuable social exposure, most importantly, I realized that having good work attitudes, for example, being punctual, modest, sincere, smart, enthusiastic and showing initiative, is the key to success.
-As part of my training experience at Capital Eye, I had the chance to participate, through different assignments, in performing advisory services, analyzing projects and preparing business summaries.
-My training experience was an enriching one as I had the chance to actually experience the practical side of what I had already studied at university. The assignments that I was involved in improved my technical abilities in relation to performing advisory services, analyzing projects and preparing business summaries. Moreover, my time at the company added to my team spirit as I often had to interact with team members to accomplish assignments.