Regulatory Compliance Assistant Manager

Client of Capitex

Job Description

Roles & Responsibilities

Desired Candidate Profile

Key Responsibilities Regulatory Assurance & Assessments

• Conduct recurring regulatory compliance assessments via the RMS in line with defined assessment schedules.
• Review assessment responses and supporting evidence to identify gaps, non-compliance, and control weaknesses.
• Track, escalate, and follow up on open regulatory findings with relevant stakeholders.
• Maintain and continuously update regulatory breach registers and remediation trackers.
• Support assurance activities across non-regulatory functions when required.

• Support regulatory examinations, inspections, and ad-hoc requests from the CBUAE and other authorities.
• Assist with regulatory correspondence, submissions, approvals, and returns to the CBUAE.
• Ensure all regulatory reporting obligations are completed accurately and within deadlines.
• Review regulatory notices prior to internal circulation to ensure clarity, accuracy, ownership allocation, and regulatory intent.

• Provide timely regulatory guidance and advisory support to internal stakeholders.
• Analyse new and updated regulations, assess impact, and coordinate implementation actions.
• Maintain and update the internal regulatory library (article-by-article mapping of key CBUAE regulations).
• Prepare regulatory updates, dashboards, and management information for senior management and governance committees.
• Support preparation of submissions to Compliance Committee, Board Risk Committee, and other forums.

• Assist with FATCA and CRS compliance obligations, including monitoring, reporting, and governance.
• Support annual FATCA/CRS reporting, including customer data preparation and validation.

• Review policies, procedures, and product programs to ensure regulatory requirements are adequately addressed.
• Identify regulatory risks and recommend appropriate mitigating controls.
• Contribute to regulatory training materials and awareness initiatives as part of the annual training plan or trigger-based events.

• Coordinate internally to ensure timely delivery of weekly dashboards, priorities, and regulatory MIS.
• Act as a strong team player, supporting Regulatory Officers and ensuring quality and consistency of outputs.
• Perform other duties as assigned by the Head of Regulatory Compliance or Head of Compliance.

• Reports to the Head of Regulatory Compliance, who reports to the Head of Compliance with unrestricted Board access.
• Expected to operate independently within defined mandates and internal procedures.

Internal:

• Head of Regulatory Compliance
• Compliance team and wider business stakeholders

External:

• CBUAE and other relevant regulators
• Government and supervisory authorities (as required)

• Minimum 8 years experience within banking or financial services.
• At least 5 years in Regulatory Compliance or a closely related function (mandatory).
• Prior experience in Audit or Legal (minimum 2 years) is highly advantageous.

• Strong working knowledge of CBUAE regulations and regulatory frameworks.
• Excellent written and verbal communication skills.
• Strong analytical, problem-solving, and decision-making capability.
• High attention to detail with strong organisational skills.
• Ability to work independently while collaborating effectively with teams.
• Professional judgement, integrity, and adherence to ethical standards.