Senior Analyst – Compliance

The post holder will deal with compliance issues related to the Exchange and its Clearinghouse and provide full support in handling all related functions and tasks within the Compliance Department. The position requires continuous interaction with the Regulator and Members to manage compliance related matters/findings.  

Key Area of Responsibility

Member Compliance

  • Carry out due diligence of potential and existing Member firms.
  • Carry out investigations to ‘flags’ raised by online screening tools.
  • Ensure Members comply with the ongoing obligations including event driven obligations/submissions to the Exchange and Regulator.
  • Identify breaches to the Exchange By-laws by Member firms and ensure that the Members take corrective actions.
  • Manage SCA licensing applications to obtain necessary regularly approval.
Member inspections
  • Participate in periodic examination of Member firms on annual and/or ad hoc basis, compile observations and prepare reports.
  • Monitor and report on the progress of the implantation of Member compliance mitigation plans.
  • Support the Compliance Department in implementing the Exchange and Clearing house’s AML Policy and procedures, including conducting requisite KYC checks during Member on-boarding, on-going surveillance, training of Member compliance teams, and in-house AML training for staff.
Client Complaints
  • Carry out investigations and manage customer complaints
  • Assist in development and implementation of compliance policies and procedures.
  • Ensure the Exchange and its Members comply with the requirements as stipulated under FATCA and Common Reporting Standard and liaison with the relevant authorities in this regard.
  • Minimum qualifications shall be a bachelor’s degree in commerce, accounting, management or law.
  • Compliance and AML certifications and work experience are an added advantage.
  • At least 4 years of experience in the compliance department of a financial institution.
  • Experience in capital markets, futures/options markets, or a commodities market is desirable.
  • Experience in working closely with any financial regulators.
  • Good understanding of financial and AML regulations.
  • Good understanding of balance sheets and corporate governance
  • Excellent communication in English, verbal and written.
  • Excellent communication in Arabic, verbal and written is desirable.
  • Ability to develop and present clear analyses and co-ordinate effectively internally and externally with stakeholders.
  Closing date: 24th May 2019

Please apply to


HR Manager

The post holder must lead and manage the Human Resources (HR) & Administration activities of the company and ensure the provision of efficient and effective HR shared services to the other divisions.  The HR aspect performs all functions of HR services, which include (but are not limited to) recruitment and selection, performance reviews, classification/compensation plans, employee relations, and training and development.

Key Area of Responsibility Recruitment
  • Establish and lead the standard recruiting and hiring practices and procedures necessary to recruit and hire a superior workforce.
  • Attract, interview and assess candidates.
Administration & Payroll
  • Manage, develop, maintain the internal HRMS software
  • Manage and report HR data.
  • Design and support pay delivery and operate payroll accounting 
  • Define all HR training programmes and assign the authority / responsibility to managers within those programs.
  • Develop learning strategies and programmes.
Performance Management
  • Design, plan, implement and facilitate performance management process.
  • Lead the implementation of the performance management system that includes Performance Development Plans (PDPs) and employee development programs.
  • Manage talent and skill processes and integrate competence mgt
.Employee Relations
  • Determine and recommend employee relations practices necessary to establish a positive employer-employee relationship and promote a high level of employee morale and motivation.
  • Lead company compliance with all existing legal and labour laws in alignment with Government Authorities guidelines.
  • Handle general employee relations, resolve grievances and complaints. Conduct investigations when employee complaints or concerns are brought forth.
Policies and Procedures
  • Conduct a continuing study of all Human Resources policies, programmes, and practices to keep management informed of new developments.
  • Design and deliver policies and benefits.
HR Business Partnering
  • Develop HR Strategy based on the organization’s Business Strategy plan.
Job Evaluation
  • Advise on and facilitate the effective implementation of organization structure, including clarity of roles and responsibilities.
  • Conduct market surveys and job evaluations.
  • Conduct probationary reviews on the 3rd and the 6th month of employment.
Team Management
  • Direct, motivate, appraise and develop reporting staff ensuring that performance is managed, customer service values are emphasized and that activities are adequately carried out.
  • Manage the activities of the HR team members and ensure smooth process flow and fair distribution of workload.
HR Budget
  • Manage and prepare the HR budget and review regularly.
  • Direct, motivate, appraise and develop reporting staff ensuring that performance is managed, customer service values are emphasized and that activities are adequately carried out.
Business Services
  • Oversee & supervise the activities of the Administration team ensuring the provision of timely & quality administration services across the company.
  • Ensure coordination and consistency within the departments.
  • Master’s in Human Resource Management
  • CIPD Qualified is desirable
  • At least 12 years’ experience in HR of which 7 years must be within a supervisory capacity.
  • Policy writing, training and recruitment
  • UAE Employment regulations
  • Leadership skills
  • Planning, organising and prioritising skills
  • People management skills
  • Decision making skills
  • Networking and relationship building skills
  • Presentation, communication, influencing and negotiation skills
  Closing date: 24th May 2019

Please apply to