Compliance Manager

3 weeks ago

Riyadh, Saudi Arabia Redholt Full time

A role has arisen for a Manager/Director (AVP) in the Saudi Arabia Compliance team. The individual will work on all aspects of compliance in support of our client's various business units operating in KSA. The individual will ensure that the organisation acts in compliance with internal policies, external rules and regulations, in particular those relating to Capital Market Authority, Saudi Exchange, securities regulations and money laundering rules. Ultimately, the objective of the role is to help protect our client's franchise in the KSA.

Reporting to the Head of Compliance and GFC - MENA, and working closely with Compliance Officer and MLRO, the individual will assume a number of responsibilities. They are outlined below:
**Advice, policy and training**
- Providing primary compliance coverage for employees
- Contribute to and lead development of compliance policies and procedures
- Provide support on regulatory requirements, transactions, new products and other business and infrastructure initiatives
- Provide support in training employees on a regular basis on their duties under the applicable laws and regulations
- Responding to questions from the business in a timely manner, working with other compliance teams to incorporate their views where appropriate
- Building relationships and networks across the Firm to develop a role as a trusted adviser to business and Legal and Compliance Management
- Delivering the annual Compliance Plan

**Monitoring, test checks, desk reviews and investigations**
- Design compliance monitoring and testing programmers in conjunction with the EMEA monitoring and testing teams across
- Conduct investigations with respect to any potential employee misconduct/breach of rules and regulations

**Rule interpretation and implementation of procedures and processes**
- Identify upcoming changes in KSA and CMA/Tadawul/Muqassa laws and regulations
- Ensure implementation of processes/procedures to comply with laws and regulations
- Ensure policies and procedures are drafted and updated accordingly

**Contact with regulators and auditors**
- Liaise with the regulators and internal and external auditors
- Provide input to responses to inquiries from Tadawul and the CMA in a timely manner

**Anti-money laundering**
- Ensure processes and policies are in place to comply with the money laundering law
- Create/update money-laundering risk analysis and ensure adequate monitoring

**Management Information**
- Collate monthly and quarterly Management information and update CEO of key achievements/ developments in the Compliance Program.

**Experience Required**
- Saudi National (as per the CMA regulations)
- Preferably minimum of 5-7 years’ experience in compliance or a related discipline with a leading international or a large KSA financial institution
- Good understanding of KSA securities laws/regulations
- Familiarity with some or all of the business lines operating within our client (Institutional sales and trading, investment banking and investment management)
- Fluent in Arabic and English

**Key attributes**
- Pro-active, motivated, strong organisational skills, with ability to handle multiple tasks, work under pressure, and manage competing priorities
- Exceptional problem solving and execution skills with attention to detail.
- Excellent presentation skills
- Impeccable interpersonal and client-service skills.
- Demonstrable track record of exercising sound and independent judgment and ability to identify which issues require escalation
- Ability to remain calm and assertive in tough situations and be persuasive

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