Compliance Manager
Dubai Multi Commodities Centre (DMCC)
Total des années d'expérience :17 years, 10 Mois
developing Compliance & Risk Management Framework ensuring that
DMCC maintains its cutting edge lead as Best Free Zone Authority;
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Ensuring appropriate Rules / Regulations / Policies / Framework for high risk activities and devising
appropriate monitoring program;
Leadership / Mentoring of Compliance Team and streamlining / automation of surveillance program.
ACR ReTakaful MEA B.S.C (c)
Head of Compliance, Risk &AML
Ensured seamless compliance with QFCRA Regulations besides monitoring compliance and AML policies
and processes, inclusive of Training needs.
Executed Company policies, procedures & guidelines and mentored for any compliance / AML / Legal/
Risk issues besides coordinating with external Legal Counsel and Group Risk Manager on Risk Management
framework layout & implementation.
Sourced compliance solutions during the infusion of new idea besides ensuring seamless modification in the
business rules to avoid any regulatory non-compliance consequences & review of process flow.
Committee Invitee to Insurance Committee, Investment Committee, Risk Committee, Audit & Compliance
Committee and Reserving Committee.
Project in-charge to ensure full scope of Authorization from QFCRA entailing both Retail and Commercial
customers’ license, setting out policies for Compliance & AML (Risk-Based), Risk Management & Business
Processes review.
Project Manager & strategic in getting the authorization to commence regulated activities for both the
companies post 10 months of authorization by QFCRA (September 26, 2010).
SICO BSC
Managed the Regulatory Compliance of
in three strategic departments namely, Office of Investors Assistance and Education (OIAE),
Surveillance and Legal & Enforcement Department with the Regulatory Authority within a short span of
over 4 years.
Handled full life cycle of legal cases, inclusive of initial filing stage, case preparation, court hearings to final
implementation of the court decisions in many important Capital Market & Takeover related cases.
Successful track record of securing court judgments in the favor of the Regulatory Authority.
Preparation of Daily Market Report for submission to the
In-charge of regulatory liaison, due diligence and public records research
to assist Relationship Managers for AML - CDD and fund documentation.
Supervision of the Audit Team and exposure to various internal check and control measures.
A Regional Role & core member of multi-cultural - EMEA - Ethics & Compliance Team of MetLife, Inc. -
ensuring compliance with QFCRA and Qatar Central Bank (QCB) Regulations in Qatar and those in Bahrain
(CBB), Kuwait (MoC), Oman (CMA) & ad-hoc UAE requests, regulatory insight & liaison across region and
provision of Compliance Training needs with additional assistance in local Risk Management and Legal
initiatives.
Supervising Compliance and AML related policies and processes for efficient compliance with Regulatory
Rules and MetLife Global Policies, entailing OFAC Sanctions, FCPA, UK Bribery Act, Data Privacy, FATCA,
Code of Ethics, BCP Testing, Conflict of Interest, Sales Practices, Complaint Handling among others.
In-charge of project for seeking full scope of license (Retail Customers) from QFCRA besides evaluating the
Single Regulatory regime - QCB Insurance Licensing and Compulsory Health Insurance Plan in Qatar and
its impact on the overall business.
Leading formulation and deployment of Data Privacy Policy in Gulf & ME Region.
Successfully managed 3 on-site Regulatory Risk Assessment Visits with minimal findings leading to risk
profile mapping transition from “High” to “Low” Risk.
courses: Chartered Financial Analyst® (CFA) Chartered-holder; CFA Institute, Virginia, USA – Aug. 2014. Certified Anti-Money Laundering Specialist® (CAMS) from Association of Certified Anti-Money Laundering Specialists (ACAMS), USA – Feb. 2014. Financial Risk Manager (FRM), Global Association of Risk Professional (GARP), USA
Education: