UAE National Associate Market and Issuer Surveillance, Up to AED 18,000 per month, Dubai – Sapphire Recruitment Consultants

Our client is a brand name and is looking for a UAE National with Family Book to work closely with the Head of Compliance. Excellent semi government benefits which includes schooling for up to 3 children. The purpose of the role will be to primarily work within the Market Surveillance and AML functions and to support other Markets Regulation functions including Issuer Surveillance, Compliance and CANDI.
Description:
• Provide real time surveillance for our clients’ markets;
• Review and classify trading alerts generated by the “SMARTS” automated detection software
• Prepare internal surveillance investigation reports on potential market misconduct for Compliance Manager and Market Regulation
• 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
• 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
• Coordinate with companies, their advisers and internal departments such as market operations, IT to facilitate the Admission process
• Ensure media reports concerning our clients’ Issuers are monitored and appropriate action is taken
• Drafting Policies and Procedures for Issuer Surveillance function and act as the primary backup to the Issuer Surveillance Manager
• Maintain the daily operation of company announcements system used for regulatory disclosures
• Issue Notices/Circulars and other market announcements on behalf of our client in a timely and efficient manner
• Provide ongoing support to system users and liaise with IT to resolve any technical issues

Job Details

Date Posted: 2017-10-11
Job Location: Dubai, United Arab Emirates
Job Role: Accounting and Auditing
Company Industry: Human Resources

Preferred Candidate

Career Level: Entry Level
Nationality: United Arab Emirates

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