About the Role
In line with the UAE Government’s strategy to empower and develop nationals, this role is integral to ensuring that the organization operates within a robust governance framework while facilitating efficient, compliant, and sustainable business strategy execution. The position supports the implementation, maintenance, and continuous improvement of the corporate governance framework of the company Securities, ensuring timely completion of governance activities aligned with group standards and regulatory requirements.
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Organization Unit Purpose
The Governance Unit connects business activities with regulatory requirements, Group standards, internal controls, and Board-level governance expectations, acting as a central coordination and oversight function.
Responsibilities
Corporate Governance & Board Affairs
- Support the preparation of Board meeting packs and maintain the tracker for agreed action items.
- Coordinate with internal stakeholders for meeting inputs, minutes, approvals, and follow-ups relating to Board meetings.
- Coordinate responses to Group Company Secretariat (GCS) queries under the guidance of the Senior Manager.
Policy, Process & Governance Framework Development
- Maintain a tracker of policies and procedures of the company; ensure timely reviews and updates.
- Support the development and review of new and existing policies, frameworks, and PFDs.
- Monitor adherence to approved policies and escalate gaps or issues to the Senior Manager.
Regulatory Affairs & Licensing Oversight
- Coordinate RFIs, surveys, questionnaires, and data requests from Regulators and Markets.
- Maintain regulatory trackers, follow up with action owners, and support timely submissions.
- Support annual SCA and market license renewals, including documentation for new activities.
Audit, Compliance & Control Oversight
- Maintain trackers for audit actions and follow up on timely remediation.
- Coordinate documentation for external audits, compliance monitoring, and quality assurance reviews.
- Monitor open NPPAs, follow up with action owners, and escalate overdue items.
- Support the maintenance and monitoring of the company risk and control framework and compliance with Group policies.
- Monitor employee compliance with the Group Code of Conduct and Group policies.
- Track completion of Group mandatory training requirements.
Risk Management & Risk Appetite Governance
- Support the Risk Manager and Senior Manager – Governance in preparing and reviewing the Risk Appetite Statement.
- Initiate quarterly monitoring against approved risk appetite thresholds and prepare exception reports.
- Support the review of error trade cases, document findings, and track corrective actions.
Legal, Litigation & Contract Governance
- Coordinate litigation-related inquiries and documentation with Legal, Compliance, and business teams.
- Support legal and regulatory documentation requirements and maintain relevant records.
Customer Conduct Oversight
- Review customer complaints, coordinate responses, and track corrective actions.
- Support customer account opening and maintenance quality assurance reviews.
- Support the Customer Service team in quarterly customer dormancy reviews and follow up on identified actions.
- Review client tagging requests in line with approved requirements and submit to Senior Manager for review.
Strategy, Business Planning & Performance Management
- Support Senior Manager – Governance in company strategy formulation and business planning.
- Assist in the preparation of Monthly Business Review (MBR) packs and validate supporting data.
- Help prepare strategic and executive-level presentations for management review.
Education
- Bachelor’s degree in Finance, Business Administration, Accounting, Economics, Law, or a related discipline.
- Strong academic background in financial markets, corporate governance, and risk management.
Experience
- 3+ years in financial services within governance, risk, compliance, audit, or control functions.
Knowledge & Skills
- Advanced proficiency in Microsoft Excel for data analysis, pivot tables, formulas, and dashboards.
- Strong proficiency in Microsoft PowerPoint for professional presentation preparation.
- Effective use of Microsoft Copilot and other AI-enabled tools for analysis and drafting.
- High attention to detail in reports, presentations, trackers, and governance documentation.
- Understanding of the UAE regulatory landscape for securities brokers.
- Experience in management and Board-level reporting.
Behavioral Competencies
- Maintains professionalism and composure in sensitive discussions.
- Disciplined in tracking, reporting, and escalation processes.
Benefits
- Extremely competitive rewards, benefits, and perks.
- Flexible work policy allowing for remote work as needed.
- Professional development opportunities to accelerate your career.
