Manager - Supervision

Abu Dhabi Global Market
Abu Dhabi
Full timeFunction: Executive & General ManagementExperience: 8+ yearsEducation: bachelorsSkills: ["Communication","Stakeholder management","Negotiation","Teamwork","Planning","Analytical","Integrity","Proactivity","English"]

This leadership role leads the supervision of broker/dealer activities within the FSRA, developing and implementing supervisory frameworks, coordinating risk-based reviews, and driving regulatory compliance across assigned financial institutions.

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FursaFursa
Abu Dhabi Global Market
Abu Dhabi Global Market
9 months ago

Manager - Supervision

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Source: Company careers pageValidated by: Fursa AI
Last checked: 8 hours agoStatus: Live

Job Summary

This leadership role leads the supervision of broker/dealer activities within the FSRA, developing and implementing supervisory frameworks, coordinating risk-based reviews, and driving regulatory compliance across assigned financial institutions.
Location: Abu Dhabi
Employment Type: Full time
Job Function: Executive & General Management
Seniority: Manager level

Key Responsibilities

  • •Assist in developing, enhance and implement the framework, policies, rules and procedures for governing and supervising financial institutions.
  • •Responsible for effective supervision of financial institutions within the FSRA risk-based supervisory plan.
  • •Develop a supervisory plan / strategy appropriate for the firms/funds assigned thereto together with line manager / backup to mitigate identified areas of supervisory concerns.
  • •Make appropriate use of supervisory tools such as onsite reviews, third parties reviews, information requests etc.
  • •Lead and assist in the periodic risk assessment of firms in line with Supervisory work plan, including the planning and executing of supervisory reviews and drafting and communication of recommendations.
  • •Review periodic reports and returns on an ongoing basis.
  • •Conduct periodic implementation controls/progress reports in areas where deficiencies have been identified.
  • •Build and manage relationships with stakeholders among market participants and other relevant ADGM staff.
  • •Responsible for taking prompt action against deficiencies and non-compliances identified.
  • •Deliver additional tasks that may be delegated from senior management, including participating in and leading projects.
  • •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.
  • •Participate and deliver on projects that may be allocated thereto.
  • •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.

Key Requirements

  • •Bachelor’s / Master’s Degree
  • •Minimum 8 years of experience working in broker/dealer supervision or related roles.
  • •Considerable knowledge of broker/dealer sector regulations, products, services, and market practices.
  • •Experience of the assessment of risks to identify trends, identify concerns, consider appropriate remedial action 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.
  • •Demonstrate a proactive approach, ability to manage own workload and a strong commitment to delivering results.
  • •Fluent in business English.
  • •Professionally qualification in finance, accounting risk or other related specialism.
  • •Industry experience in Financial Services for example, in risk management, compliance or internal audit.
  • •Knowledge and experience of other financial sectors.
  • •Proficient in Arabic or other language(s) and understanding of the Arabic culture.
Experience:8+ yearsFinancial ServicesBroker/dealer supervisionRisk-based supervisory
Education:Bachelor's
Skills:CommunicationStakeholder managementNegotiationTeamworkPlanningAnalyticalIntegrityProactivityEnglish
Languages:English

Company Brief

Abu Dhabi Global Market
Abu Dhabi Global Market (ADGM) is Abu Dhabi’s international financial centre and free zone, providing a common-law regulatory framework, licensing, and services for financial and non-financial institutions to operate across Al Maryah and Al Reem Islands.
Industry: Public Sector Agencies
Company Size: Large (251 to 1,000 employees)
Growth: Government & Public Sector
Funding: Government Funded
Headquarters: Abu Dhabi, United Arab Emirates
Founded: 2013
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