Compliance Officer
Skills
About This Role
Job Purpose
- The job holder is responsible for handling end to end complaints management, receiving all escalated complaints, documenting, and coordination with stakeholder in order to bring complaint to resolution.
- Job holder is responsible for establishing clear guideline and procedures for handling complaints to enable the business to improve services.
- The job holder will also be responsible for identifying trends and completing a root cause analysis to address areas of concern.
Key Accountabilities
- To be an effective communicator and ensure all complaints are acknowledged in a timely manner and customers are kept information throughout the complaint process.
- To liaise with the client on a weekly basis and report on the level of customer complaint resolutions.
- To provide complaint trends and communicate lessons learnt to stakeholders, so service levels can be improved.
- To be responsible for investigation, resolution and reporting of all customers related complaints.
- Build and maintain strong relationships with the Complaint Champions and Executive Assistants across all Business Lines.
- Act as a ‘voice’ for customers and clients alongside maintaining a strong commercial awareness.
- Optimize capacity to support across the broader Customer Relations Team by handling non escalated complaints as required.
- To input all complaints onto the CRM database, reporting and seeing that all procedures relating to complaints are followed.
- To constantly liaise with all levels of management throughout the business to ensure minimal financial/reputational impact.
- To provide complaint trends to departments to highlight issues and find remedial solutions.
- Improving customer service procedures, policies and standards for the organization or department.
- Maintaining and publishing complaints data/its analysis across various departments.
- Providing annual complaints logs as per regulatory requirements.
- Pro-active approach to customer service and process management.
Key Performance Indicators (KPIs)
- Timely completion of the compliance monitoring reviews
- Timely implementation of the action plans following the reviews
- All advices are given within the agreed TAT and in line with the compliance procedures
- Positive relations with the regulator/No Penalties/All returns filed on time and licenses renewed on time/All communications addressed on time
- All regulatory requests and reporting are addressed on time.
- All potential matches cleared on time as per the agreed TAT
- Timely regulatory filings
- Full adherence to Corporate Governance Regulations and Manuals
- All potential matches cleared on time as per the agreed TAT
- Timely regulatory filings
- Full adherence to Corporate Governance Regulations and Manuals
Skills Required
- Advisory and Knowledge of the Authorities and Regulators regulating the insurance industry in the UAE such as the Central Bank, SCA, DFM, DFSA, DHA and DOH
- Experience in drafting policies/procedures and regulatory controls.
- Knowledge of the regulations governing the insurance industry in UAE
- Takaful knowledge is a plus
- Arabic Reader & Writer is a key requirement
Education, Experience and Formal/Professional Qualifications
- Bachelors Degree in Finance/Accounts/Law/Audit.
- 2- 3 compliance experience in a Financial Institution.
- Arabic is preferred, but not a must.
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