Market Surveillance Officer
Digital Finance Group
UAE, Abu Dhabi,Abu Dhabi
منذ 2 يوم
source :

Job Role : Market Surveillance Officer

Description :

  • Responsibilities Conduct real time daily surveillance of the trading Prepare internal surveillance investigation reports on potential market misconduct and provide periodic referrals of cases for enforcement and further action
  • Review Admission to trading applications to ensure compliance with local procedures and coordinate with companies their advisers and internal departments such as market operations IT to facilitate the Admission process Draft of company policies and procedures in relation to AntiMoney Laundering member compliance
  • Personal Trading Chinese Wall Gift and Entertainment Draft and update Business Rules and Market Notices to ensure orderly market
  • Provide staff appropriate training on AML policies procedures systems and controls Conduct KYC due diligence screening and riskbased assessment of every Member and Issuer to determine the effectiveness of the exchange systems and controls in the management of its AML risks Assist with the preparation of the annual AntiMoney Laundering
  • Report and quarterly compliance reports to the board of directors
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    قدِّم طلب ترشيحك
    بريدي الالكتروني
    بالضغط على "واصل" ، أعطي موافقة neuvoo على معالجة بياناتي وإرسال تنبيهات إلي بالبريد الإلكتروني ، على النحو المفصل في سياسة خصوصية لـneuvoo . يجوز لي سحب موافقتي أو إلغاء الاشتراك في أي وقت.
    استمارة الطلب