Senior Regulatory Compliance Officer

 

QUALIFICATION & EXPERIENCE:

• Graduation degree in business, accounting or finance.
•  5 years of regulatory compliance experience in a bank or exchange house in Qatar or oversees.

Skills

•       Regulatory Knowledge
•       Accuracy & Reliability
•       Policy Adherence
•       Monitoring & Testing
•       Record-Keeping
•       MS office Proficiency
•       Time Management
•       Teamwork
•       Adaptability

 

 

ROLES AND RESPONSIBILITIES:

The Senior Regulatory Compliance Officer is responsible for ensuring the organization’s operations comply with applicable laws, regulations, and internal policies. They monitor business activities, conduct compliance checks, and assist in identifying and mitigating regulatory risks. The officer supports the development and implementation of compliance programs, policies, and procedures. They investigate potential compliance breaches, prepare reports, and maintain accurate records for regulatory purposes. The role also involves training staff on compliance requirements and fostering a culture of ethical conduct across the organization. Acting as a liaison with regulators and auditors, the officer helps safeguard the organization’s reputation and operational integrity.

1.     Identify all the regulators applicable on the exchange company operating in Qatar.

2.     Identify the golden source of regulations to capture on issuance.

3.     Develop templates for capturing the regulatory requirements.

4.     Conduct risk assessment of each regulation as per defined risk assessment framework.

5.     Ensuring prompt identification, logging in, evaluation and formulation of a plan to address requirements arising from new and amended laws, regulations, rules and other requirements and expectations from regulatory and enforcement authorities.

6.     Ensuring the department concerned to share plan of implementation through controls development and tracking the implementation plan till closure.

7.     Lead project planning and implementation through all phases, tasks, and timelines

8.     Develop and implement comprehensive project plans

9.     Manage resources, budgets, schedules, and project dependencies

10.   Ensure that projects are delivered on time and on budget

11.   Proactively identify, monitor, and manage project risks and issues

12.   Monitor project progress and facilitate all project communications and applicable management reporting

13.   Highlight and escalate key blockers to governance for decision-making

14. Lead the project for automation of compliance process through implementation of compliance risk management system.

15.  Lead and run compliance AI projects.