Senior Specialist - Enforcement
Skills
About This Role
Overview
- The Financial Services Regulatory Authority (“FSRA”) is responsible for the regulation of financial services in the Abu Dhabi Global Market (“ADGM”).
- One of the FSRA’s objectives is to prevent, detect and restrain conduct that causes or may cause damage to the reputation to the ADGM through appropriate means including the imposition of sanctions.
- The FSRA Enforcement Department plays a critical role in advancing the FSRA’s pursuit of its objectives through the fair and proportionate use of the FSRA’s enforcement powers.
- The Enforcement Department is responsible for:
- Complaints Management: Receive, assess and respond to all complaints received by the FSRA efficiently and effectively.
- Internal Assistance: Provide effective assistance to the FSRA’s supervisory departments.
- Internal Referrals: Receive and assess internal referrals concerning potential contraventions of FSRA Regulations and Rules.
- External Referrals: Receive and assess external referrals of information from other regulatory or law enforcement bodies concerning potential contraventions of FSRA Regulations and Rules, or otherwise potential misconduct in the ADGM.
- Investigations: Plan and conduct all investigations into potential contraventions of FSRA Regulations and Rules.
- Regulatory Action: Arrange for the exercise by the FSRA of its regulatory powers, including the preparation of briefs for internal decision makers and supporting the conduct of litigation (with Legal).
- Mutual Assistance: Receive, assess and respond to external requests for assistance received by the FSRA concerning Enforcement matters or which otherwise require the exercise of the FSRA’s information gathering powers.
- In addition, the responsibilities of the Enforcement Department include:
- Developing the FSRA’s overall strategy and approach to enforcement in collaboration with key FSRA stakeholders;
- Developing and implementing the Enforcement Department policies, procedures and practices; and
- Developing systems and infrastructure for the FSRA’s Enforcement function.
- The Senior Specialist will be responsible for the conduct of a range of assigned enforcement matters, working within a working within a team of experienced regulatory enforcement professionals (made up of investigators, accountants, lawyers and market specialists).
- In addition, the incumbent will be responsible for the conduct of matters specialising in the following practice and policy/project areas:
- Virtual Asset regulatory compliance and misconduct; and
- Unauthorised Business and Fraudulent Schemes.
Primary Duties
- Assist in the development and effective delivery of the FSRA and Enforcement Department’s Strategy and Operational Plan;
- Assist in the ongoing development, enhancement and implementation of policies and procedures;
- Take responsibility for initiatives both at FSRA and Departmental level as may be allocated thereto;
- Provide expert leadership in key assigned practice and policy areas;
- Be responsible for leading investigations and regulatory action matters and supervising the conduct of regulatory investigations, referral and complaint assessments, regulatory action matters and mutual assistance matters.
- Operational responsibilities
- Conduct of a range of assigned investigations, referral assessments, complaints assessments, mutual assistance matters and regulatory action proceedings.
- Manage and conduct assigned complex investigations into suspected contraventions of FSRA administered Regulations and Rules, including but not limited to:
- Preparing formal recommendations to commence investigations;
- Planning and project managing the investigation;
- Gathering evidence (including through the appropriate exercise of the FSRA’s formal powers to require production of documents and information and conduct inspections, and through voluntary requests for information and documents);
- Forensically reviewing and analysing evidence;
- Securing and registering evidence;
- Conducting investigative interviews (on a compulsory and voluntary basis);
- Reporting on the progress of investigations;
- Preparation of detailed reports of the findings of the investigation;
- Preparation of briefs of evidence; and
- Preparation of recommendations to pursue regulatory action to address contraventions of FSRA administered legislation.
- Assess and respond to complaints concerning potential contraventions of FSRA administered legislation, including but not limited to:
- Communicating with complainants to gather further information and supporting evidence as required;
- Gathering information and evidence (including through the exercise of the FSRA’s formal powers to require production of documents and information and conduct inspections, and through voluntary requests for information and documents);
- Reviewing and analysing evidence;
- Preparing detailed assessment reports and recommendations for further investigation or to pursue regulatory action as required; and
- Responding to Complainants;
- Assess and respond to internal and external referrals of information concerning potential contraventions of FSRA administered legislation;
- Gathering information and evidence (including through the exercise of the FSRA’s formal powers to require production of documents and information and conduct inspections, and through voluntary requests for information and documents);
- Reviewing and analysing evidence;
- Preparing detailed assessment reports; and
- Preparing recommendations for further investigation or to pursue regulatory action as required;
- Conduct, in collaboration with the FSRA Legal Department, Regulatory Action proceedings to impose regulatory and disciplinary action, including large complex regulatory actions that result in tribunal or court litigation.
- Conduct, in collaboration with the FSRA Legal Department, Taxation Reporting penalty proceedings.
- Contribute to the oversight of the Enforcement Department’s Complaints Management function.
- Contribute to the Enforcement Department’s continuous development and enhancement of its policies and procedures;
- Contribute to the Enforcement Department’s input into the FSRA’s FSAP Assessment Project.
- Work collaboratively with the other regulatory functions in the FSRA to deliver risk-based regulation to achieve the objectives of the ADGM;
- Develop and maintain effective relationships with ADGM and external stakeholders (including UAE and international regulatory and law enforcement authorities, ADGM Authorities, market participants and representative bodies) to identify and develop initiatives that support and contribute to the development of ADGM as an International Financial Centre.
- Work with other regulatory agencies in any cross-border investigations and regulatory actions;
- Provide effective assistance to international and UAE regulatory and law enforcement authorities (including in information sharing requests made under relevant Memorandums of Understanding and, where appropriate, by conducting investigations in ADGM on their behalf with respect to potential breaches);
- Carry out any project related work that may be assigned (both FSRA and Departmental); and
- Deliver additional tasks/projects that may be delegated.
- Managerial
- Contribute to building a cohesive team environment in which team members consistently drive to improve performance.
- Take responsibility for mentoring high potential and critical talent in their career progression.
- Information Security related
- Understand, adopt, adhere and practice responsibilities or controls as per ADGM Information Security policy and as per best practices explained in the induction and awareness sessions.
- Maintain confidentiality, Integrity and availability of the ADGM Information shall be maintained at all times i.e. within as well as outside ADGM.
• Minimum Bachelor’s Degree
- Appropriate qualifications in anti-money laundering and counter terrorist financing compliance and fraud examination preferred
Work Experience
- Minimum 6-8+ years of regulatory enforcement and/or investigation experience, or a combination of regulatory, law enforcement or industry experience in virtual assets investigations;
- Working knowledge and experience of regulatory enforcement and investigation practice;
- Working knowledge of financial services regulation and applicable laws and regulations;
- Demonstrated ability to conduct complex investigations and regulatory action proceedings;
- Ability to make appropriate decisions which are based upon sound judgement and analysis, are evidence-based and well documented;
- Excellent analytical, interpersonal, presentation, written and communication skills:
- Excellent command of written and spoken English. Proficiency in Arabic language would be an advantage;
- Ability to build and manage complex stakeholder relationships;
- Excellent written and oral communication skills;
- Ability to simplify complex problems and develop effective solutions;
- Ability to take ownership, demonstrate resilience and persist and sustain energy in the face of challenges;
- Integrity and Cultural impact
- Act with purpose and integrity; and
- Leads by example and demonstrates a strong sense of responsibility and integrity.
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