Associate Director, Conduct Supervision
Role Overview
Provide guidance and oversight to the team to deliver an effective, efficient, risk-based supervision strategy aligned with DFSA objectives and the Board’s risk tolerance.
The Associate Director, Conduct of Business Risk, executes the Conduct Team work plan and oversees conduct-risk projects and related policy work.
Key Skills for This Role
Full Job Posting
Job purpose
Provide guidance and oversight to the team to deliver an effective, efficient, risk-based supervision strategy aligned with DFSA objectives and the Board’s risk tolerance.
The Associate Director, Conduct of Business Risk, executes the Conduct Team work plan and oversees conduct-risk projects and related policy work.
Technical guidance and supervision
- Act as a technical expert in the relevant risk area and provide internal training as needed.
- Guide the team on risks affecting regulated entities to support effective risk-based authorization where relevant and supervision.
- Monitor international and regional regulatory standards and financial-services developments, and provide updates and input.
Strategy, policy, and projects
- Contribute to DFSA and Supervision Division strategy, business planning, and policy formation, and cascade approved plans into team management.
- Help develop and implement the team’s supervision strategy in line with DFSA-wide goals.
- Ensure assigned DFSA-wide business-plan projects are completed effectively, on time, and within budget.
- Undertake managerial, policy, outreach, and other assigned projects; participate in policy setting and regulation development.
People management
- Set objectives, manage performance, develop and motivate staff, and provide feedback and appraisals to support individual and team performance.
- Ensure timely and accurate KPIs, performance reviews, leave approvals, and timesheets for self and team members.
- Identify improvements to systems, processes, and regulatory practices, including productivity improvement and cost reduction.
- Support DFSA professional-development programs, including Masaar, and ensure team members have time to participate.
- Lead the team in the Director’s absence when requested.
Education and experience
- Bachelor’s degree in a relevant field such as Business, Finance, Accounting, Risk Management, or Economics; postgraduate study in a similar field is advantageous.
- Continuing professional education relevant to the position.
- 10+ years of regulatory, compliance, or risk-management experience at a broadly equivalent financial-services regulator or regulated entity.
- At least two years in managerial or supervisory roles is desirable; project leadership or equivalent experience demonstrating mentoring and motivation may qualify.
- Experience dealing with financial-services regulators, standard setters, board members, and senior executives.
- Experience developing and implementing regulatory standards and policy analysis is preferred.
Knowledge and skills
- Strong, current knowledge of financial-services regulations and relevant international standard setters, and understanding of risk-based regulation.
- In-depth knowledge of financial-services industry characteristics, key sector risks, and current or emerging risk-management issues.
- Understanding of the DIFC regulatory regime and financial-services activities offered by firms operating in the DIFC.
- Strategic vision, analytical thinking, creativity, judgment, and ability to articulate options and trade-offs.
- Influence, meeting leadership, and ability to deliver difficult messages; strong people leadership, planning, organization, and time management.
- Professional, diplomatic, and ethical attitude.
- Finance, risk-management, or quantitative qualifications such as CFA, FRM, or PRM are a plus.
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