Aston Carter - Dubai - My client, a major banking group in the UAE are currently looking for a 'Compliance Manager, Investments within their Private Banking/Wealth Management segment. The job holder is responsible for managing the monitoring review function ensuring that the necessary Investment Compliance monitoring framework is in place covering all segments to cover relevant policies, monitoring, reporting and training in order to ensure that the applicable UAE Central Bank (CB) and Securities and Commodities Authority (SCA) requirements are met. The role also entails ensuring that the periodic regulatory Investment monitoring reviews are undertaken timely, maintain departmental reports for record-keeping purposes, follow-up/track and report on any non-compliance related issues. In addition, the role will provide support in collating information for updating guidelines/processes and maintaining the relevant approval and correspondence files and the pertinent Management Information for record keeping pur...
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