Senior Manager - Enforcement

Responsibilities

Assist in the development and effective delivery of the FSRA and Enforcement Department's Strategy and Operational Plan. Assist in the ongoing development, enhancement, and implementation of policies and procedures. Take responsibility for initiatives both at FSRA and Departmental level as may be allocated thereto. Provide expert leadership in key assigned practice and policy areas. Be responsible for leading investigations and regulatory action matters and supervising the conduct of regulatory investigations, referral and complaint assessments, regulatory action matters and mutual assistance matters.

Conduct a range of assigned investigations, referral assessments, complaints assessments, mutual assistance matters and regulatory action proceedings. Manage and conduct assigned complex investigations into suspected contraventions of FSRA-administered Regulations and Rules, including but not limited to preparing formal recommendations to commence investigations. Plan and project manage the investigation. Gather evidence including through the appropriate exercise of the FSRA's formal powers to require production of documents and information and conduct inspections, and through voluntary requests for information and documents.

Forensically review and analyse evidence. Secure and register evidence. Conduct investigative interviews on a compulsory and voluntary basis. Report on the progress of investigations. Prepare detailed reports of the findings of the investigation. Prepare briefs of evidence and recommendations to pursue regulatory action to address contraventions of FSRA-administered legislation. Assess and respond to complaints concerning potential contraventions of FSRA-administered legislation.

Communicate with complainants to gather further information and supporting evidence as required. Gather information and evidence, including through the exercise of the FSRA's formal powers to require production of documents and information and conduct inspections, and through voluntary requests for information and documents. Review and analyse evidence. Prepare detailed assessment reports and recommendations for further investigation or to pursue regulatory action as required.

Respond to complainants. Assess and respond to internal and external referrals of information concerning potential contraventions of FSRA-administered legislation. Gather information and evidence, including through the exercise of the FSRA's formal powers to require production of documents and information and conduct inspections, and through voluntary requests for information and documents. Review and analyse evidence. Prepare detailed assessment reports. Prepare recommendations for further investigation or to pursue regulatory action as required.

Conduct in collaboration with the FSRA Legal Department regulatory action proceedings to impose regulatory and disciplinary action, including large complex regulatory actions that result in tribunal or court litigation. Conduct in collaboration with the FSRA Legal Department tax reporting penalty proceedings. Contribute to the oversight of the Enforcement Department's complaints management function. Contribute to the Enforcement Department's continuous development and enhancement of its policies and procedures.

Contribute to the Enforcement Department's input into the FSRA's FSAP Assessment Project. Work collaboratively with the other regulatory functions in the FSRA to deliver risk-based regulation to achieve the objectives of the ADGM. Develop and maintain effective relationships with ADGM and external stakeholders, including UAE and international regulatory and law enforcement authorities, ADGM authorities, market participants and representative bodies to identify and develop initiatives that support and contribute to the development of ADGM as an International Financial Centre.

Work with other regulatory agencies in any cross-border investigations and regulatory actions. Provide effective assistance to international and UAE regulatory and law enforcement authorities, including in information sharing requests made under relevant Memorandials of Understanding…