- Responsible for effective supervision of relevant financial institutions within the FSRA risk-based supervisory plan
- Make appropriate use of supervisory tools such as on-site / off-site reviews, third parties reviews, information requests etc.
- Contribute to the periodic risk assessment of firms in line with Supervisory work plan, including the planning and execution of supervisory reviews, and drafting and communication of recommendations
- Review regulatory submissions made by relevant financial institutions.
- Produce risk analysis based on the data provided by asset / fund managers.
- Manage the receipt, acknowledgement and processing of fund related submissions.
- Assess applications and notifications made to the Regulator by Authorised Persons and create recommendations for line management consideration. Review recommendations made by junior staff members prior to escalation to line management.
- Conduct periodic remediation implementation reviews and create progress reports in areas where deficiencies have been identified.
- Build and manage relationships with stakeholders among market participants and other relevant ADGM staff.
- Take prompt action against deficiencies and non-compliances identified.
- Deliver additional tasks that may be delegated from senior management
- Adherence to all internal policies, procedures, standards and behaviours'
- Assist in implementing policies, rules and processes, including appropriate documentation for all assigned institutions.
- Liaise with other internal stakeholders such as Authorisation and/or other FSRA groups, as appropriate.
- Contribute to the regular monthly, quarterly and annual reports produced by the Supervision section.
- Participate in and deliver projects that may be allocated thereto
- Contribute to developing, enhancing and implementing the framework, policies, rules and procedures for governing and supervising Fund and Asset Management entities.
- Contribute to the development and production of sectoral reports and management information.
- Act as a reference point and provide expertise and support to other colleagues within the Supervision team.
- Contribute towards a team culture within the Supervision team.
- 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 at all times i.e. within as well as outside ADGM.
- Bachelor's / Master's Degree
- Minimum 8 years of relevant experience from a regulatory background.
- Considerable knowledge of Fund Management and Asset Management sector regulations and market practices
- Considerable knowledge of Fund structures across various fund sectors.
- Experience of the assessment of risks to identify trends and future regulatory requirements
- Well-developed communications skills both in writing and orally.
- Good internal and external stakeholder management skills
- Good influencing and negotiation skills.
- Demonstrate strong teamwork, working collaboratively with a team of diverse professionals.
- Demonstrate planning, organisation and analytical skills
- Demonstrate a strong sense of responsibility and impeccable integrity.
- Fluent in business English.
- Professional qualifications in fund / asset management operations, risk management, compliance or another related specialism.
- Prior supervisory experience in Financial Services Regulation in a comparable supervisory body (for example FCA, DFSA, ESMA, etc), or, from within the industry in risk management, compliance or internal audit.
- Proficient in Arabic or other language(s) and understanding of the Arabic culture.
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Manager - Supervision - Abu Dhabi, United Arab Emirates - Financial Services Regulatory Authority
Description
DescriptionThe FSRA is responsible for the regulation of Financial Services providers in the ADGM and for the supervision of regulated activities. The Supervision Division consists of the Supervision Section and the Markets Section.
The Supervision Division consists of the Supervision Department and the Markets Department.
The Supervision Department is responsible for the supervision of banks, insurance companies, money service providers and capital markets. The Supervision Department follows a holistic, proactive risk-based approach to supervision of financial service providers falling under its remit.
The Manager - Supervision (Fund and Asset Management) is a role within the Supervision Department. The role holder is responsible, in close liaison with the Senior Manager and Directors for the supervision of a portfolio of financial institutions active in the Fund Management and / or Asset Management sectors. The Manager is expected to execute the FSRA risk based supervisory approach, as well as contribute to the enhancement of supervisory procedures and regulatory framework as required. The Manager Supervision will be expected to be a key member of the supervision team and work effectively with all colleagues.
Operational responsibilities
Strategic responsibilities
Managerial
Information Security related
Education
Work Experience
Desirable:
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Manager - Supervision
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Manager - Supervision
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Manager - Supervision
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Manager - Supervision
Full time Only for registered members Abu Dhabi
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Manager - Supervision
Full time Only for registered members Abu Dhabi
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Manager - Supervision
Full time Only for registered members Abu Dhabi
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Manager - Supervision
Full time Only for registered members Abu Dhabi
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Senior Specialist
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Senior Manager
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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MPD Field Engineer III
Only for registered members Abu Dhabi, Abu Dhabi Emirate
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Senior Manager
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Senior Specialist
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Specialist - Supervision
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Resident Engineer/Design Manager
Only for registered members Abu Dhabi
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Technical Pre-sales Consultant
Only for registered members Abu Dhabi, Abu Dhabi Emirate
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Finance Manager
Only for registered members Abu Dhabi
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Manager (Market Infrastructure) - FSRA Markets
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Electrical Engineer
Only for registered members Abu Dhabi, Abu Dhabi Emirate
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Manager - Surveillance
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates
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Senior Manager
Financial Services Regulatory Authority- Abu Dhabi, United Arab Emirates