Senior Compliance Specialist
Capital Market Authority
مجموع سنوات الخبرة :9 years, 6 أشهر
Compliance Specialist (Investment Products Compliance)
• Review fund reports, announcements, and disclosures made by Collective Investment Scheme managers, ensuring full compliance with set regulations.
• Refer funds from the financial statements that have a qualified opinion for the external auditors to the Financial Statements Review Department of 50+ for further evaluation.
• Oversee the funds Compliance Monitoring Program to double-check each assigned compliance officer has the necessary authority to perform tasks.
• Assess Collective Investment Scheme-related promotional material, mitigating the probability of the material containing false or misleading information while ensuring compliance with the specified regulations.
• Maintain & update a consolidated database with data imperative to the Collective Investment Scheme industry.
• Ensure investment products fully comply with the implemented regulations, showcasing excellent analytical skills.
• Identify and seamlessly manage risk arising from external/internal factors to policy objectives, escalating concerns if necessary.
• Advise the Board in making decisions pertaining to the Department’s mandate.
• Assist the Deputy in reporting activities & achievements and monitor the implementation status of Board decisions.
• Cooperated with the Policy Development function to develop a high-yielding regulatory framework for Investment Products and the Collective Investment Schemes industry in Saudi Arabia.
I am working at Coordination & Credit Information Analysis Division.
Safeguarding and updating the industrial loan information.
Follow-up on applying the most modern technical software systems in coordination with the Information Technology Department.
Generating any credit reports that may be required using varies software such as Crystal Reports.
Coordinating to share such information with the other SIDF Departments, and any interested government institutions.
Created a Microsoft Access database system to make employees in the Coordination Department able to record their achievements.
I worked in Incentive Sales Program department in STC under HR services. Our main goal is to improve sales revenue by motivating employees.
- Coordinate with key stakeholders from all relevant sectors to collate and discuss all change requests.
- Analyze requested changes and ensures that all change requests are implemented as per plan and within the specified timeframe.
- Study and analyze all final results collected from all the relevant sectors of STC and escalates them to the person in charge.
- Review all data and targets of the incentive tree and applies it for all relevant sectors in line with established incentive calculation guidelines.
- Review all financial reports pertaining to incentive calculation and implementation to ensure compliance with incentive program policies
- Review and analyses with relevant sectors that all employee complaints/issues pertaining to the incentive process and ensures that timely resolution is provided
- Ensure that the queries of all sales employees from various relevant sectors are resolved at the earliest to ensure clarity about the incentive scheme.
• Key Modules: Essential Quantitative Finance, Financial Instruments, Corporate Finance, Programming in Python, Financial Derivatives, Market & Credit Risk, Ethics & Orgs: Responsibilities & Justice, Financial Crisis & Bank Regulations, Portfolio Management, Empirical Research.