Manager, Governance & Control – Wealth Management

Overview

Role Purpose

Key Accountabilities of the role

• Design and maintain controls and processes to ensure WM compliance with applicable regulatory requirements (CBUAE, SCA, etc.).
• Lead dissemination and implementation of regulatory requirements across WM in coordination with Compliance, Governance, HR, and Frontline teams.
• Act as the primary WM liaison with internal stakeholders including Compliance, Shariah, ORM, CPR, and BORM.
• Conduct regulatory gap analyses and drive process updates arising from regulatory, business, or annual reviews.
• Oversee closure of all internal and external audit actions.
• Prepare and deliver governance and control reporting to Senior Management and stakeholders.
• Ensure timely compliance with all internal control requirements and coach WM Middle Office on control execution.
• Monitor WM operations at a high level to identify emerging risks and control gaps.
• Coordinate regulatory engagement and periodic reporting with CBUAE, SCA, and other regulators.
• Support Internal Audit reviews and conduct periodic business and product compliance reviews.
• Support new product launches by ensuring documentation, approvals, and processes meet regulatory requirements.
• Drive digitalization and automation initiatives across WM governance, controls, and reporting.
• Resolve escalated WM issues and management action items (e.g. BRCC).
• Maintain and enhance RCSA, KRIs, MIS reporting, and undertake ad‑hoc assignments as directed.
• Specialist Skills / Technical Knowledge Required for this role:
• Efficient and timely problem-solving skills
• Good knowledge of internal/ external controls
• Ability to apply possible scenarios and view potential risks
• Complete knowledge and understanding of the operational function
• Ability to foresee and implement system changes and enhancement
• Customer service skills and complaints resolution skills
• Ability to exercise required controls to mitigate risks arising from non-compliance or non-adherence
• Excellent communication/interpersonal skills
• Ability to work in a fast-moving and complex environment while meeting deadline