| Job Location | Abu Dhabi, United Arab Emirates |
| Education | Not Mentioned |
| Salary | Not Mentioned |
| Industry | Financial Services; Investment, Securities & Funds |
| Functional Area | Not Mentioned |
Responsibilities:???????? Conduct real time daily surveillance of the trading??????? Prepare internal surveillance investigation reports on potential market misconduct and provide periodic referrals of cases for enforcement and further action??????? Review Admission to trading applications to ensure compliance with local procedures and coordinate with companies, their advisers and internal departments such as market operations, IT to facilitate the Admission process??????? Draft of company policies and procedures in relation to Anti-Money Laundering, member compliance, Personal Trading, Chinese Wall, Gift and Entertainment??????? Draft and update Business Rules and Market Notices to ensure orderly market??????? Provide staff appropriate training on AML policies, procedures, systems and controls??????? Conduct KYC, due diligence, screening and risk-based assessment of every Member and Issuer to determine the effectiveness of the exchange systems and controls in the management of its AML risks??????? Assist with the preparation of the annual Anti-Money Laundering Report and quarterly compliance reports to the board of directors
Keyskills :
Oversight
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