VP- Compliance – Global Corporate Finance

JOB PURPOSE:

To provide compliance advisory support to the all the SCA related licenses/business teams within GCF by ensuring compliance with the rules, regulations and best practice. In addition, this role will also provide advisory services to The FAB Custody business. This role is a global role and the jobholder will be responsible for overseeing Compliance advisory for GCF businesses in the international locations where FAB is present. 

He/she shall align to the Head of GCF to ensure the GCF team are in compliance with the applicable legislations in the state and the bylaws and the evidence of the work of the licensed body.

Moreover, he/she shall work with the FAB Financial Crime team to perform the tasks of following up and supervision of the application of the procedures of encountering money laundering, terrorism financing and illegal organizations financing in accordance with the relevant legislations. 

The incumbent will need to complete specific local UAE (SCA accredited) exams in order to discharge their responsibilities in this role.

Job Specific Accountabilities

In conjunction with the different compliance teams, lead and manage the creation, implementation and monitoring of the GCF and Custody Compliance framework and plans that properly address Compliance needs and requirements in line with laws, rules and regulations.

• Provide timely compliance advisory and support to the Global Corporate Finance business which focuses on investment banking advisory engagements and capital markets products and services, including but not limited to origination, structuring, execution and syndication of securities offerings,
• Loan Capital Markets (LCM), Debt Capital Markets (DCM), Equity Capital Markets (ECM), Agency, Custody and Security Services.
• Build and maintain productive business relationships with GCF business partners, across the regions, and must have the ability to work cross-functionally to effectively deliver added value to the Business.
• Provide compliance advice to GCF business on regulatory developments, policy initiatives, projects, new business initiatives and process improvements.
• Oversee and coordinate GCF compliance agenda through FAB International network where GCF business is present.
• Act as the main point of contact for the GCF and Custody business for any related matter to Compliance or regulations
• Liaise with other Compliance teams, including Financial Crime Compliance and Regulatory Compliance teams to ensure the GCF Business are following the latest regulations and best practice.
• Maintain and build an effective relationship with the GCF and Custody businesses so that effective escalation of issues is achieved, and risk managed.
• Manage Chinese Walls within the GCF Business focusing on wall crossings and any potential conflicts on interest in line Group policy and international best practice.
• Support the GCF Business to adhere to Group Compliance policies, procedures and processes and assist GCF management to ensure fulfilment of its compliance responsibilities.
• Participate in key compliance initiatives and monitor compliance related projects for GCF and Custody Business.
• Help with any matter related to overall management of IBG Compliance team.
• Execute other duties as directed by the Head of Compliance – IBG .