Senior Transaction Monitoring and Surveillance Associate - Abu Dhabi

Job summary

Senior Transaction Monitoring and Surveillance Associate role focuses on executing the firm's transaction monitoring activities and supporting the trade surveillance function that covers ADX and DFM markets.

Responsibilities

• Assist with the design, development and continuous enhancement of the monitoring and surveillance program which captures the regulatory conduct, prudential, organisational, financial crime risks.
• Help ensure the timely execution of the monitoring and surveillance program.
• Devise and execute relevant tests in line with regulatory requirements.
• Prepare and file Suspicious Transaction Reports (STRs) and maintain related registers.
• Support FATCA and CRS due diligence, classification, and reporting processes.
• Coordinate with ADX, DFM, and SCA as needed for information requests, regulatory queries, or reporting follow-ups.
• Ensure completion of risk-based desk and thematic reviews to deliver independent recommendations to business heads.
• Working with key stakeholders to design effective controls.
• Execute reviews under the monitoring and surveillance program and escalate findings to Chief Compliance Officer.
• Identify, integrate and test third party systems to be used by Compliance.
• Undertake trade surveillance monitoring on a timely basis to identify suspicious activity ensuring that all analysis is completed to the highest standard and is appropriately documented.
• Review and escalate possible money laundering, market abuse and market integrity issues.
• Review transactions for compliance with anti-money laundering laws.
• Prepare and ensure that all functional operation reports related to compliance are accurate, complete, and up to date.
• Maintain and ensure accurate records and documentation of compliance related monitoring activities.
• Recommend enhancements to existing processes and develop new processes for identifying and monitoring regulatory risk.
• Analyse and review compliance data.
• Help ensure effective, accurate and timely regulatory reporting.
• Advise and develop robust Transactions and Trades Reporting control frameworks including effective reconciliation, exception handling, management information, static data and change management processes.
• Undertake any other related work that may be required from time to time.
• Promote the profile of the Compliance department and help to cultivate a strong compliance culture and effective communication across the business.

Job description