Compliance Officer
acico
مجموع سنوات الخبرة :11 years, 8 أشهر
*Reviewing Capital Market Authority CMA Regulation on a regular bases.
*Complying with corporate governance regulations issued by CMA.
*Conducting gap assessment to identify the pending documentations which include but not limited to policies, manuals, charters, and job descriptions.
*Day To Day Operations.
Compliance Officer at Al Mulla International Finance Co. (K.S.C.C.)
• Monitoring and reporting results of the compliance operations to the head of risk & compliance and providing guidance for the board and senior management on matters related to compliance issues.
• Developing initiates, maintaining, and revising policies and procedures of the general operation of the Compliance program and its related activities to prevent illegal, unethical, or improper violations.
• Managing day-to-day operations of the Program, auditing client's files and verifying whether the granted loans are in line with CBK's regulations.
• Ensuring the validity of client documents and their Ci-Net reports whether they are violating CBK's regulations. Checking if individual loans were granted according to internal authorities' grid.
• Maintaining an uptaded black list for individuals in accordance with CBK's regulations.
• Following up with rectification.
.Complying with corporate governance regulations issued by CMA.
.Conducting gap assessment to identify the pending documentations which include but not limited to policies, manuals, charters, and job descriptions.
Sep 2, 2012 - Dec 31, 2012 Auditor at RSM Al-Bazie & Co. • Retail Loan Review Assignment at Kuwait International Bank.
Academic • Bachelor Degree in Finance from the Gulf University for Science and Degree Technology (GUST) - GPA: 3.57 - MPA: 3.67 - July 22, 2012