Regulatory Compliance Manager

Client of Capitex

The role is accountable for leading regulatory assurance activities across the Bank, managing CBUAE regulatory assessments, overseeing regulatory correspondence and submissions, and ensuring robust governance, reporting, and regulatory engagement. The Manager acts as a senior point of contact for regulatory matters, providing advisory support and oversight across regulatory compliance activities.

Key Responsibilities

Regulatory Assurance & Oversight

• Lead and oversee recurring regulatory compliance assessments through the Regulatory Management System (RMS) in line with defined assessment cycles.
• Review assessment outcomes, supporting evidence, and responses to identify regulatory gaps, breaches, and control weaknesses.
• Drive follow-ups with business owners on open regulatory findings and remediation actions.
• Maintain oversight of regulatory breach registers and ensure timely escalation of material issues.
• Oversee non-regulatory assurance activities where required across the Bank.

Regulatory Engagement & CBUAE Liaison

• Actively support and coordinate regulatory examinations, inspections, and information requests from the CBUAE and other authorities.
• Manage and oversee regulatory correspondence, submissions, approvals, and returns to the CBUAE.
• Ensure all ongoing regulatory reporting and submissions are completed accurately and within agreed timelines.
• Review and quality-assure regulatory notices prior to internal circulation to ensure regulatory intent, key actions, ownership, and deadlines are clearly articulated.

Regulatory Advisory & Governance

• Provide senior regulatory advisory support to internal stakeholders on regulatory interpretation, implementation, and impact.
• Analyse new and amended regulations, assess business impact, and coordinate responses and implementation actions.
• Maintain and enhance the internal regulatory library, including detailed article-by-article mapping of key CBUAE regulations.
• Prepare and present regulatory compliance updates, dashboards, and MI to senior management and governance committees.
• Lead preparation of regulatory submissions to the Compliance Committee, Board Risk Committee, and other governance forums.

FATCA / CRS & Regulatory Programs

• Oversee FATCA and CRS compliance obligations, including governance, monitoring, reporting, and stakeholder coordination.
• Take responsibility for annual FATCA/CRS reporting, including customer data preparation, validation, and submission.

Policies, Controls & Training

• Review and challenge policies, procedures, and product programs to ensure regulatory requirements are fully embedded.
• Identify regulatory risks and recommend appropriate mitigating controls and enhancements.
• Support the development and delivery of regulatory training and awareness initiatives, both planned and trigger-based.

Leadership & Operational Support

• Provide oversight and guidance to Regulatory Officers, ensuring quality, consistency, and timely delivery of outputs.
• Ensure preparation and distribution of weekly regulatory dashboards, priorities, and internal MI.
• Act as a trusted senior member of the Compliance function, supporting the Head of Regulatory Compliance as required.
• Carry out additional duties consistent with the role as assigned by the Head of Regulatory Compliance or Head of Compliance.

Governance & Independence

• Reports to the Head of Regulatory Compliance, who reports to the Head of Compliance with unrestricted access to the Board.
• Operates independently within defined mandates, policies, and governance frameworks.