Manager - Advisory Compliance

D360 Bank

The role is responsible to supports the implementation of controls, compliance checks, and compliance processes including advisory, compliance monitoring, and responses to compliance-related inquiries. He/she executes tasks as per defined procedures to ensure regulatory compliance across D360 and their assigned areas, and escalates to the Head of Regulatory Compliance, and/or other relevant stakeholders. He/she will work with the Head to maintain Compliance processes and procedures.

• Supports Control and monitors all SAMA observations and coordinates with concerned internal stakeholders to ensure the proper closure and alignment with the target date.
• Conduct routine review and monitoring based on established procedures to ensure all related rules and regulations have been embedded.
• Collaborate with other Functions to direct compliance issues to appropriate existing channels for investigation and resolution.
• Work with the Head to identify potential areas of compliance vulnerability and risk, and develop and implement corrective action plans.
• Monitor communication channels for compliance queries, and advise/escalate to relevant stakeholders
• Participate in resolving regulatory issues that emerge from the information requirements of internal and external stakeholders.
• Advise internal clients and stakeholders on compliance resources and references
• Works with Functions in the development of products, partnerships, and technology platforms, and with onboarding clients to ensure that regulatory compliance is built into the process.
• Enforce, incorporate, and comply with all necessary controls and related information security (EIS) policies, procedures, practices, training, reporting, personal due diligence and vigilance, within departmental/unit activities and operations.