NASDAQ Dubai - Dubai - To primarily work within the Market Surveillance function and to support other Markets Regulation functions including Issuer Surveillance, Compliance and CANDI MARKET SURVEILLANCE Provide real time surveillance for NASDAQ Dubai markets; Review and classify trading alerts generated by the “SMARTS” automated detection software; Prepare internal surveillance investigation reports on potential market misconduct; Provide monthly updates to the Dubai Financial Services Authority (DFSA) and periodic referrals of cases for enforcement and further action; Drafting Policies and Procedures for Market Surveillance function. ANTI MONEY LAUNDERING (AML) Ensure that AML policies and procedures are reviewed and up to date; Review and signoff on CDD checks and ensure that any findings are escalated to the MLRO; Provide annual AML training to relevant staff; Assist in preparing the annual MLRO report as well as ad hoc reports. ISSUER SURVEILLANCE Review Admission to Trading application...
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