Internal Control Officer- SME
Job Purpose - To strengthen the governance, risk management, and internal control framework across the Business Banking sales function. - To ensure proactive identification, mitigation, and reporting of operational, conduct, and regulatory risks within the sales unit.
Skills
About This Role
Overview
- Job Purpose
- To strengthen the governance, risk management, and internal control framework across the Business Banking sales function.
- To ensure proactive identification, mitigation, and reporting of operational, conduct, and regulatory risks within the sales unit.
- To drive high standards of compliance, customer experience, and sales quality through effective monitoring, analytics, and control mechanisms.
- To support business growth by embedding a strong control culture without impacting sales productivity.
• Governance, Risk & Compliance
- Monitor adherence to internal policies, SOPs, SLAs, and regulatory requirements across sales channels.
- Identify, escalate, and track control gaps, operational risks, and compliance breaches.
- Support internal and external audits, ensuring timely closure of audit findings.
- Strengthen control frameworks aligned with regulatory expectations (CBUAE and internal compliance).
- Manage end-to-end customer complaints through CRM in coordination with Customer Care Unit.
- Investigate complaints related to mis-selling, service gaps, and fraud indicators.
- Conduct root cause analysis (RCSA) and drive corrective/preventive actions.
- Monitor lead management, onboarding quality, and documentation standards.
- Ensure adherence to KYC, AML, and onboarding standards.
• D. Reporting & Analytics
- Prepare and publish governance dashboards (MER, KPIs, risk indicators).
• E. Fraud Risk & Control
- Identify suspicious patterns and escalate potential fraud cases to Fraud & Investigation teams.
- Ensure strong preventive controls to minimize fraud exposure.
• F. Process Improvement & Optimization
- Regularly review and update SOPs, SLAs, and operating manuals.
- Partner with business, operations, and product teams to streamline processes.
- Promote digital adoption and process automation across sales and onboarding.
• G. Field Controls & Sales Governance
- Conduct periodic field visits and audits of sales units to ensure compliance (documentation, clean desk, record management).
- Monitor ONR (Open Non-Resolved issues) and ensure timely closure.
- Ensure proper handling of customer documents and adherence to data privacy standards.
- Track completion of mandatory trainings (compliance, AML, conduct).
- Conduct awareness sessions on governance, risk, and compliance topics.
- Drive a culture of accountability and ethical selling practices.
- Manage the Business Continuity for the Unit.
Operating Environment, Framework and Boundaries, Working Relationships
- Work closely with:
• Operations & Product Teams
- Ensure effective coordination between business and control functions.
- Monitor and manage user access controls and segregation of duties within systems.
Problem Solving
- RResolve complex customer complaints and operational issues with minimal escalation.
- Identify systemic issues and implement sustainable fixes rather than temporary solutions.
- Balance business objectives with risk and compliance requirements
Knowledge, Skills and Experience
- Recommend and implement process improvements and control enhancements.
- Escalate high-risk issues, fraud cases, and compliance breaches.
- Influence SLA definitions, governance frameworks, and reporting structures.
- Participate in projects related to sales transformation, onboarding, and controls.
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