The Head of Private Banking and Wealth Compliance will be responsible for leading and building a Compliance Unit covering policy and appetite setting, advisory, support and oversight for Treasury and Global Markets Business, Private Banking and Wealth compliance advisory framework across Mashreq Bank, Mashreq Capital, Mashreq Securities and any related entities / subsidiaries in the UAE and globally.

The role-holder will provide support on end to end programme for TGM, PvB and Wealth, from inputting to strategy setting by Business, providing advisory and challenge on end to end controls including onboarding, due diligence, understanding of the business and regulatory landscape, advisory on new product development and cross-border channels. The role discharge the 2nd line compliance risk stewardship for these businesses in the UAE and cross border / global activities.

The role requires a deep understanding of local and international financial regulations, a proven track record in building and maintaining robust compliance frameworks, and the ability to lead a diverse team in a dynamic and evolving regulatory landscape. The successful candidate will ensure the firm adheres to all applicable laws, regulations, and internal policies, mitigating compliance risks and fostering a strong culture of integrity and ethical conduct.

Strategy & Leadership:

Develop, implement, and maintain a comprehensive Compliance strategy for TGM, PvB and Wealth businesses, aligning with the firm's overall risk appetite and business objectives
Lead, mentor, and develop a high-performing global Compliance team, fostering a culture of continuous improvement, collaboration, and accountability
Act as a trusted advisor to senior management and business leaders on all compliance-related matters impacting the wealth business

Regulatory Oversight & Framework:

Understand and interpret various regulatory guidelines and new regulations such as those introduced by CBUAE, SCA, DFSA and other applicable global regulators, to provide advisory on investment management, portfolio management, promotion and advisory regulations, and consumer protection regulations
Design, implement, and enhance compliance policies, procedures, and controls to ensure adherence to all applicable laws, regulations, and industry best practices
Oversee the firm's anti-money laundering (AML), know-your-customer (KYC), Sanctions, and anti-bribery and corruption (ABC) programs as they apply to the TGM, PvB and Wealth businesses
Lead the Compliance function in regulatory examinations, inquiries, and audits, ensuring timely and accurate responses and remediation of any findings

Risk Management:

Identify, assess, and monitor compliance risks inherent in wealth management products, services, and operations
Develop and implement effective risk mitigation strategies and controls
Conduct regular compliance risk assessments and provide reports to senior management and relevant committees
Provide advice on dealing across multiple jurisdictions
Contribute towards digital-first compliance outcomes
Guide on rules of engagement, offshore travel policies, and acquisition from new markets like the UK, HK, Qatar, Singapore, India, Saudi, and Egypt
Act as the 2nd line of defense compliance risk steward for PBW

Advisory & Training:

Provide expert compliance advice and guidance to business units on new products, services, and business initiatives
Develop and deliver comprehensive compliance training programs for all wealth business employees to ensure awareness and understanding of regulatory obligations

Technology & Data:

Drive the adoption of compliance technology solutions to enhance efficiency, effectiveness, and data analytics capabilities within the compliance function
Ensure data privacy and security compliance in line with global regulations

Stakeholder Management:

Collaborate effectively with other internal stakeholders including Legal, Risk, Internal Audit, Operations, and Technology
Build and maintain strong relationships with regulatory bodies and industry associations

Operating Environment, Framework and Boundaries, Working Relationships

Operates in a complex and dynamic environment; a failure/ breach may result in severe financial penalties, blocking of funds, discontinuation of correspondent banking relationship, and hence damaging bank reputation and customer confidence
Demonstrate strong leadership and ownership of compliance initiatives, driving results and ensuring the highest standards of compliance are met
Develop and implement a strategic vision for Private Banking and Wealth Compliance, aligning with the overall goals of the organization
Collaborate effectively with senior management, regulatory bodies, and other stakeholders to influence and shape compliance policies and practices
Establish and monitor key performance indicators (KPIs) to measure the effectiveness of compliance programs and initiatives
Foster a culture of innovation and adaptability, staying ahead of regulatory changes and implementing cutting-edge compliance solutions

Problem Solving

Apply analytical thinking and sound judgment to address complex compliance matters, ensuring timely, regulatory-compliant solutions for managing customer relationships and transactions while safeguarding the bank’s reputation.
Assess, recommend, and lead technology-based compliance solutions to enhance effectiveness.
Support process restructuring, outsourcing, and system development, maintaining robust compliance controls and acting as a risk steward.
Handle complex issues and sensitive information efficiently.

Decision Making Authority & Responsibility

Design, implement, and maintain appropriate Compliance programme for TGM and WPB for effective management of end to end Compliance capabilities for the types of services the bank offers and the category of customers it serves
Senior most decision maker for day to day Compliance decisions for TGM and WPB, with appropriate escalations to Group Head of Compliance and Bank MLRO and Business Heads
10 + years senior level Private Banking and Wealth Compliance experience
Strong understanding of regulatory guidelines and compliance requirements for Private Banking and Wealth across multiple jurisdictions
Knowledge of working with complex structures such as Trust, Foundations, SPVs, and estate planning
Sound understanding of Suitability and Appropriateness, particularly in their application to complex products in the context of a hybrid execution only / advisory model
Strong understanding of investment products, services, and operational processes within wealth management
Ability to stay updated on digital wealth solutions and regulatory changes
Excellent communication and leadership skills
Significant experience in working in a fast paced / agile environment
Ability to work under significant business pressure to ensure on-boarding and continued relationships with clients are aligned to the organization’s risk appetite
Bachelor's degree in Law, Finance, Business Administration, or a related field. A Master's degree or relevant professional certifications (e.g., ACAMS, CFA, Series 7/63/24) are highly desirable

The leading financial institution in MENA While more than half a century old, we proudly think like a challenger, startup, and innovator in banking and finance, powered by a diverse and dynamic team who put customers first. Together, we pioneer key innovations and developments in banking and financial services. Our mandate? To help customers find their way to Rise Every Day, partnering with them through the highs and lows to help them reach their goals and unlock their unique vision of success. Delivering superior service to clients by leading with innovation, treating colleagues with dignity and fairness while pursuing opportunities that grow shareholders value. We actively contribute to the community through responsible banking in our mission to inspire more people to Rise.

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