Compliance Advisor

Job description / Role

Job Function: Legal & Compliance
Location: Dubai
Full/Part Time: Full time
Regular/Temporary: Regular
Local Grade From-To: B6

Job Description:
Compliance Manager, Control Room for MEPA, based in Dubai supporting the execution of the Group's and function's strategies, reporting to the Head of Compliance Control Room, MEPA, also based in Dubai.
Coordinates with Control Room colleagues globally located in the US, UK and Singapore and ensures that the Control Room's processes are adhered to.

Key Roles & Responsibilities:
The primary areas of responsibility will be managing and performing the core functions owned by the Compliance Control Room, including:
- Conflict clearance and conflict management
- Pre-clearing Outside Business Interests requests of staff
- Pre-clearing Personal Account Dealing requests of staff to ensure compliance with the Group's policies and procedures
- Maintenance of the Group's Watch and Restricted Lists
- Tracking transaction flows and timetables, pipelines and inside information held be various businesses and functions within the Group
- Management of the Group's Information Walls, including executing wall crossings where appropriate
- Pre-clearance of research
- Maintenance of research disclosures
- Ensuring KCSAs are developed, maintained and completed in a timely manner
- Provide relevant compliance control room input on policies owned by other groups, departments and businesses
- Generation and analysis of Control Room data
- Provide Compliance Control Room advice to the businesses to and to other Legal and Compliance colleagues
- Work closely with Legal and Compliance colleagues in achieving departmental and Group objectives
- Assist in the development and maintenance of Control Room policies and procedures
- Provide Control Room support for relevant regulatory/enforcement/internal investigations

The candidate must:
-be a team player
-have a cultural awareness of MEPA
-be able to implement strategies and controls at a detailed level
-be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure
-be able to analyze and resolve conflicts
-be able to communicate clearly and effectively
-have the ability to build and to develop strong long-term relationships with colleagues, internal clients, and other stakeholders

Requirements

The ideal candidate will have an understanding of the Compliance Control Room function including:

- Existing knowledge of the broad range of business areas in which the Group is engaged, particularly in our private side, research, and financing businesses and a detailed understanding of the corresponding rules/regulations/market practice that govern those businesses
- An understanding of Information Walls/Barriers
- An understanding of Conflicts of Interest
- Strong understanding of processes and controls
- Basic understanding of Islamic financial instruments is a plus

Diversity & Inclusion:
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.

About the Company

Standard Chartered Bank started in 1958 in UAE with its first branch in Sharjah. The Group’s business gradually increased in Dubai with the opening of several branches and today, Dubai is the administrative hub of the Middle East and South Asia Region. In its 43rd year, the Bank enjoys the position of having the most extensive branch network among foreign international banks in UAE with 10 branches emirate-wide.

Standard Chartered is an international bank, focused on the established and emerging markets of Asia, Africa, the Middle East and Latin America with an extensive global network of more than 600 offices in over 50 countries. The three principal business groups are Global Markets, Personal Banking and Corporate and Institutional Banking.

In UAE, we are one of the leading banks, offering an extensive range of products and services for personal customers, local companies, multinational corporate and financial institutions.