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Director at Nastech Consulting
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Chief Compliance Officer - NBFC/Bank (9-15 yrs)
Look at NBFC's and Banks
- Please look at organizations who have presence in the retail segment and the one's who have a lot of branches as the incumbent has to manage compliance for a lot of branches of UAE.
- To develop,implement, monitor and maintain compliance policies and procedures.
- To provide advice on compliance implications of the firms entry to new markets,products and development of new trading strategies.
- To monitor the continually changing compliance environment to ensure our ongoing compliance.
- Attending relevant conference,lectures,classes to keep up with industry developments and best practice.
- To serve as primary point of contact for regulatory audits and queries.
- To develop the annual compliance work plan that reflects the organization's unique characteristics.
- To periodicall revise the compliance plan in light of changes.
- To monitor external review process.
- To prepare and present clear and concise complicance reports to the board
- To independently investigate and act on matters related to compliance.
- To develop policies and programs that encourage managers and employees to report suspected fraud and other improprities without fear of retaliation.
- To coordinate internal compliance review and monitoring activities including periodic reviews of departments
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