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.
• 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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