- Own and maintain a risk-based annual Compliance Monitoring & Assurance Plan, refreshing it based on risk assessments, FSRA thematic reviews, and regulatory changes.
- Design and execute control testing across AML/CFT, sanctions, market abuse, client-asset safeguarding, complaint handling, outsourcing, and technology/cyber governance.
- Apply the full assurance cycle from scoping and walkthroughs through sampling, testing, root-cause analysis, findings ratings, remediation tracking, and closure validation.
- Deliver thematic deep-dives aligned to FSRA supervisory priorities, including transaction monitoring, Travel Rule compliance, high-risk client EDD, and market abuse surveillance.
- Map monitoring activities to applicable FSRA rulebooks and obligations, and maintain evidence trails for FSRA information requests, inspections, and thematic reviews.
- Produce board-ready assurance reports with quantified findings, severity ratings, and management action plans; present results to relevant committees and the Board or Audit Committee where required.
- Track remediation and escalate overdue or high-risk issues; coordinate with Internal Audit and external auditors to support complementary coverage.
- Test AML/CFT controls, including CDD/EDD, KYC onboarding, periodic reviews, PEP and sanctions screening, transaction monitoring, SAR/STR escalation, FIU-UAE submissions, and targeted financial sanctions.
- Build, mentor, and lead the assurance team; maintain testing standards, quality review, resource allocation, and delivery against agreed SLAs.
- Maintain CMAT policies and methodologies, drive automation and data analytics, and embed lessons learned into first- and second-line processes and training.
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