Compliance Manager at Confidential

JOB OBJECTIVE:

To support the implementation of an effective ethics and compliance programme through research, drafting of written guidance, delivery of training, management of compliance investigations, administrative support, and project management, ensuring the company complies with applicable laws, regulations, policies, and ethical obligations.

The individual shall ensure that there are policies and procedures in place that are efficient, effective, well understood and observed by all employees, and the company complies with all statutory requirements listed entity.

The position will report directly to the Audit, Risk & Compliance Committee.

KEY ACCOUNTABILITIES:

Ethics & Compliance Program

• Participates in internal reviews of policies and procedures in the assigned corporate function(s)/assets to gather information and data on ethics and compliance within current documented and implemented practices.
• Develops the Ethics & Compliance programme ensuring alignment with all regulatory requirements and the requirements of the ARCC
• Participates in the implementation of compliance projects for the assigned corporate function(s)/assets in line with the Ethics &Compliance programme to ensure compliance risks are effectively managed.

Ethics & Compliance Policies, Systems, Processes and Procedures

• Contributes to the identification of opportunities for the continuous improvement of functional systems, processes and practices taking into account ‘international leading practice’ to improve business processes, productivity and operational efficiency.
• Implements all relevant functional policies, processes, procedures, and instructions so that work is carried out in a controlled and consistent manner.
• Conducts research on changes and developments in relevant local and global laws and regulations to assist in providing inputs into the ongoing development and implementation of key compliance processes to ensure ‘best practice’.
• Drafts specific ethics and compliance policies and procedures to enforce relevant corporate and governance requirements.

Administrative Responsibilities

• Manages the process, analysis, and reporting of KPIs, ensuring accurate and timely record-keeping.
• Assists in the creation and updating of training materials for compliance programs.
• Conducts data analysis for various compliance-related metrics and initiatives.
• Monitors and manages the compliance helpline mailbox, including attending helpline calls and responding to inquiries.
• Continuously improves and enhances the internal compliance system to ensure it remains an effective data management platform.
• Ensures appropriate planning and timely delivery of all core and special projects.

Analysis & Risk Assessment

• Analyzes policies and procedures in the assigned corporate function(s)/assets to identify compliance with internal policies and procedures, and relevant laws and regulations.
• Identifies and reports on potential ethics and compliance breaches or errors within the assigned corporate function(s)/assets to raise awareness of the issue and remediate it going forward.
• Conducts research into ethics and compliance breaches to further explore the issue and associated risk so that corrective action recommendations can be made.
• Conducts analysis on key compliance risks and emerging issues inherent to the operations of the company to support risk assessments for the assigned corporate function(s)/assets.

QUALIFICATION& EXPERIENCE REQUIREMENTS

Education

• Bachelor or graduate-level degree in law from an internationally recognized higher education institution.

Experience

• Minimum of 8 years of experience in compliance, audit, or other risk- management function.
• Experience in a top-tier international organization or experience working in various industries in the UAE, Europe or USA.
• Experience working with UAE Security & Commodities Authority (“SCA”), Dubai Financial Market and/or Abu-Dhabi Accountability Authority.
• Experience in listed entity in UAE would be an added benefit.