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Compliance Officer
Há 1 mês
This role will be responsible for ensuring the bank's policies, procedures, and relevant laws and regulatory regulations are compiled in letter and spirit to minimize operational, legal, and regulatory risks.
Key Responsibilities- Lead the development and implementation of robust compliance framework processes and maintain the highest standards of regulatory compliance, mitigate financial crime risks, and protect the integrity of the company's operations.
- Consistently apply UBL's AML/CFT/CPF policy, standards, and allied procedures.
- Ensure effective implementation of the Bank's FCC strategy to ensure vertical alignment and horizontal integration with other interfacing departmental strategies.
- Review policies, procedures, and products, recommend required changes if any to align them with local regulatory requirements and provide day-to-day advisory services.
- Conduct periodical branch visits to discuss, assess, and address regulatory compliance-related issues and concerns.
- Oversee and monitor reviews as per the risk-based Compliance Review Plan.
- Provide Subject Matter Expert guidance to Business and Operations on Sanctions, especially legal bindings and generally regimes identified by bank policy.
- Clear understanding of Managing FI Relationships and their RFIs.
- Oversee the review of Unusual Activity Reports for reporting of STRs to the regulator.
- Oversee the risk-based compliance program for UAE branches.
- Reviewing AML/CFT/CPF Policy & Standards to ensure these are consistent with regulatory requirements and update the same upon change in the applicable regulatory regime.
- Participate in Compliance Focus Group and other formal and informal meetings with staff members and management to discuss and provide timely updates on the status of Bank's compliance with applicable regulatory requirements in particular AML/CFT/CPF.
- Design and conduct periodic training of the staff on the latest and significant regulatory requirements including AML/CFT/CPF in liaison with HRD.
- Act as a point of contact and for CBUAE.
- Keep strong relationships with the Central Bank and other regulatory authorities and ensure the provision of required information to the regulators in a timely manner.
- Further, coordination with other regulatory bodies and law enforcement entities.
- Act as a coordinator for CB UAE examinations including thematic reviews, baseline examination, assets quality review, and any other reviews initiated by the regulator.
- Ensuring effective coordination for closure of examination findings, Compliance risk identified or any other regulatory remediation plans.
- Identification, monitoring, remediating, and reporting of regulatory risk-related to UAE franchise to the Compliance Committee at Head Office level.
- Ensuring timely and effective closure of actions suggested by the compliance committee on franchise risk escalated to HO.
- Submit periodic reports to the members of the concerned management on issues of regulatory significance and tracking for resolution.
- Implementing Compliance Risk Management framework in line with the applicable regulatory requirements and with coordination and direction from Head Office.
- Participating in the Compliance Committee of Management, as and when required.
- Minimum Bachelor degree and preferably a Master's Degree.
- CAMS or Certified from International Compliance Association.
- 10+ years banking experience, out of which 5 years in compliance/Internal Audit/Risk function.
