Senior Manager - Compliance Advisory (Wealth Management)
Skills
About This Role
Job purpose
The Compliance function is an independent Second Line of Defence (“2LOD”)
department
that reports directly to the Chief Executive, with unfettered access to the Board of Directors.
The Compliance function is dedicated to supporting NBF to actively manage Regulatory Compliance (RC), Conduct Risk & Financial Crime (FC) risk.
Duties and responsibilities
- Primary responsibility is to lead the effective provision of Business Line compliance for the Wealth Management (WM) Business, including:
- Advice and Support acting as a Trusted Advisor and effective 2LOD function for Wealth Management.
- Compliance advice and support provided across relevant areas of Regulatory Compliance, Conduct Risk, Product Development, Sales Methods, Disclosures, AML/CTF and Sanctions as required by NBF’s Investment Management and Wealth Management businesses.
- Compliance Assurance over customer advice, execution of orders and instructions, client moneys, custody, AML/CTF/PF.
- Develop and implement effective SCA and Licence Gap Analysis, Compliance Manual Assurance Plan and associated Process including directing and where necessary implementing requirements project for key regulatory change projects.
- Address and lead resolution of Compliance relevant findings from internal or external reviews or other aspects of Compliance Assurance program.
- Responsible for key aspects of Consumer Protection and Conduct Risk agenda.
- To support the Head of Compliance and Executive Compliance Advisory to deliver consistent high-quality compliance advice in the Business Lines to ensure delivery of service standards to external and internal stakeholders.
Experience
>5 years of compliance/assurance in a SCA regulated entity or similar such as DFSA.
Qualifications
- A minimum degree (Bachelors) in a business-related field or equivalent.
- A recognized qualification or certification in Banking, Compliance, Internal Audit or Law
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