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, planning and project managing the investigation, gathering 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, including but not limited to communicating with complainants to gather further information and supporting evidence as required, gathering information and evidence, reviewing and analysing evidence, preparing detailed assessment reports and recommendations for further investigation or to pursue regulatory action.
Contribute to the oversight of the Enforcement Department’s Complaints Management function and 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 Memorandums of Understanding and where appropriate by conducting investigations in ADGM on their behalf with respect to potential breaches. Carry out any project‑related work that may be assigned both FSRA and Departmental and deliver additional tasks and projects that may be delegated.
Contribute to building a cohesive team environment in which team members consistently drive to improve performance, take responsibility for mentoring high potential and critical talent in their career progression. 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 within as well as outside ADGM.
Minimum Bachelor’s Degree; appropriate qualifications in anti‑money laundering and counter terrorist financing compliance and fraud examination preferred. Minimum 6‑8+ years of regulatory enforcement and/or investigation experience, or a combination of regulatory,…
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