Company Description

Join the UAE\'s largest bank and one of the world\'s largest and safest financial institutions. Our focus is to create value for our employees, customers, shareholders and communities to grow through differentiation, agility and innovation. We are looking for top talent and your success is our success. Accelerate your growth as you help us reach our goals and advance your career. Be ready to make your mark a top company, in an exciting and dynamic industry.



JOB PURPOSE:

The incumbent will be a core member of the Investment Banking Group (IBG) Compliance team.

The focus of the role is

• to ensure that day to day Surveillance activities are executed per agreed protocol and evolved to best practice standards. This is a pivotal role in overseeing, leading and enhancing automated and manual surveillance for FAB Head Office and provide support and service to various other international hubs where FAB is present.
• This role will help uphold fair and orderly markets, act as an independent partner to the first line, oversee and support the ongoing enhancement and framework of the second line of defence which will help FAB continue to endorse a solid culture of compliance.
• to support the wider team and provide compliance advisory support as and when required

Surveillance is a growing area within FAB so the incumbent will be expected to have entrepreneurial flare in taking Surveillance to a global best practice level.

KEY ACCOUNTABILITIES:

Strategic Contribution:

The VP will manage and execute both Trade and Communication Surveillance using vendor tools such as Bloomberg, Bvault, Murex and Trading Hub.

BAU will involve ensuring ongoing governance and oversight of surveillance controls ensuring they remain fit for purpose and building and maintaining robust relationships with key stakeholders ensuring robust oversight of trade alerts.

Surveillance is currently in a transitional state, with the foundations only recently being set and implemented for strategic surveillance so the incumbent will be expected to take the surveillance to the next level by working with vendors and technology on various enhancements. Protocol documentation will need to be reviewed and updated periodically and alerts and other forms of automated oversight will need to be calibrated for optimization.

Core duties:

• Lead and execute the tactical and strategic intent for Compliance Surveillance.
• Evolve and devise enhanced monitoring reports and explore how the surveillance mandate can be rolled out to other areas
• Oversee and input into Management Information and other forms of reporting
• Oversight and maintenance of procedures, SOWs, SLAs and other forms of documentation
• Play a key role where required on the Compliance Monitoring Plan
• Assist GMGT Compliance colleagues to execute against their mandate from time to time
• Play a pivotal role in projects/initiatives impacting surveillance
• Partner with colleagues in international locations
• Lead on solutions to risks, issues and breaches
• Synergize with vendors so that tools, modules and alerts remain fit for purpose
• Document surveillance reviews, investigations, and other activities following guidelines
• Provide advice and training where required on key surveillance themes
• Proactively look for enhancements within the surveillance framework.

Qualifications

Minimum Qualification

• A minimum of 10 years\' experience in financial services Compliance
• At least 6 years within a Compliance Surveillance/Monitoring role
• Excellent work experience of Market Abuse rules, regulations and cases
• Good understanding of automated surveillance tools and platforms
• Outstanding attention to detail
• International mindset and good knowledge of international laws, regulations and rules which impact Investment Banking
• Willing to travel between Abu Dhabi and Dubai FAB offices
• Confident, organized and management of various stakeholders
• Good exposure to project and programme management
• Excellent analytical skills and ability to support decisions with sound reasoning
• Excellent communication skills, as the role requires constant communication with other functions within the Group
• Fluent in English

First Abu Dhabi Bank