Manager, Governance & Control – Wealth Management

Job Description

JOB DESCRIPTION

Ensure Wealth Management business compliance with all applicable regulatory requirements and internal control frameworks, proactively identify and mitigate risks, and enhance the operational efficiency, effectiveness, and control environment of the business.

• Design and maintain controls and processes to ensure WM compliance with applicable regulatory requirements (CBUAE, SCA, etc.).
• Lead dissemination and implementation of regulatory requirements across WM in coordination with Compliance, Governance, HR, and Frontline teams.
• Act as the primary WM liaison with internal stakeholders including Compliance, Shariah, ORM, CPR, and BORM.
• Conduct regulatory gap analyses and drive process updates arising from regulatory, business, or annual reviews.
• Oversee closure of all internal and external audit actions.
• Prepare and deliver governance and control reporting to Senior Management and stakeholders.
• Ensure timely compliance with all internal control requirements and coach WM Middle Office on control execution.
• Monitor WM operations at a high level to identify emerging risks and control gaps.
• Coordinate regulatory engagement and periodic reporting with CBUAE, SCA, and other regulators.
• Support Internal Audit reviews and conduct periodic business and product compliance reviews.
• Support new product launches by ensuring documentation, approvals, and processes meet regulatory requirements.
• Drive digitalization and automation initiatives across WM governance, controls, and reporting.
• Resolve escalated WM issues and management action items (e.g. BRCC).
• Maintain and enhance RCSA, KRIs, MIS reporting, and undertake ad‑hoc assignments as directed.

Specialist Skills / Technical Knowledge Required for this role:

• Efficient and timely problem-solving skills
• Good knowledge of internal/ external controls
• Ability to apply possible scenarios and view potential risks
• Complete knowledge and understanding of the operational function
• Ability to foresee and implement system changes and enhancement
• Customer service skills and complaints resolution skills
• Ability to exercise required controls to mitigate risks arising from non-compliance or non-adherence
• Excellent communication/interpersonal skills
• Ability to work in a fast-moving and complex environment while meeting deadline