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قام 313 شخص بالتقدم الى الوظيفة

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تاريخ الإعلان عنها: Mar 26, 2018
الرقم المرجعي JB1001852223
مشاركة   تغريد

Abu Dhabi Securities Exchange

Compliance Officer
Abu Dhabi Securities Exchange


الوصف الوظيفي

This position is responsible for monitoring broker’s compliance with ADX rules and regulations. In addition, the position has an educational role in assisting new members to establish the necessary procedures and systems to enable them to comply with ADX’s operational rules. -. DUTIES AND RESPONSIBILITIES: 1) Educate ADX members upon the markets rules, regulations, procedures and systems. 2) Prepare training material for new brokers and brokers’ representatives and trains new brokers’ representatives in the use of trading system, aspects of the brokerage profession and the rules and regulations under which ADX operates. 3) Conduct educational presentations to members’ to aware them of systems and procedures compliance in accordance with ADX rules and provide advice on improvements where necessary. 4) Assist with the Surveillance team on unathorized tradings for brokers’ employees trading and their relatives up to 2nd degree and prepare reports. 5) Ensure brokers’ annual and quarterly finanical statements are provided in a timely manner in accordance with ADX rules and regulations and report violations if committed. 6) Ensure that the ADX rules and regulations relating to brokers remain relevant after registration. 7) Maintain & Update Standard Operation Procedures Manual for Brokers. 8) Contribute to team effort by accomplishing related results as needed. 9) Maintain operations by following the policies and procedures. 10) Protect operations by keeping all information confidential. 11) Maintain updated data base for brokers’ employees trading and their relative up to 2nd degree. 12) Perform any other task of duties as required by line manager. - INFORMATION SECURITY RESPONSIBILITIES:  Without necessary authorization, the employee shall not disclose or communicate any ADX confidential information, including client details, to any third parties, during or after the period of employment.  Employee should adhere with all relevant information security policies at ADX.  Employee should ensure the use of ADX asset resources, materials and equipment in an ethical and legal manner.  Employee should report all security issues to the IT Security Officer, with in the earliest possible time. 5. PROBLEM SOLVING / ORGANISATIONAL IMPACT:  Financial risk: Moderate to high level of supervised core business operational risk relating to the market supervision functions.  Staff responsibilities: Not Applicable  Planning daily / annual / long term: Work assignments are advised by line manager.  Procedures and policies: Select work methods from several existing predetermined alternatives in accordance with established procedures, policies and specialised professional standards.  Level of supervision: Work assignments are subject to general supervision and completed work is reviewed.

المهارات

- Knowledge, Skills and Abilities: Communication Skills Conceptual Thinking Teamwork Quality Time Management Productivity Adaptability and flexibility Conceptual Thinking Teamwork Self development Working knowledge of computer hardware and software applications Working knowledge of English and preference given to Arabic speakers

الخلفية التعليمية

Accounting or Business Administration or Commerce or Economics or Finance or equivalent.

تفاصيل الوظيفة

  • منطقة الوظيفة: أبوظبي, الإمارات
  • قطاع الشركة: مال واقتصاد
  • المتطلبات : صاحب عمل (القطاع العام)
  • الدور الوظيفي: التسويق
  • الحالة الوظيفية: دوام كامل
  • نوع التوظيف: دوام كامل
  • الراتب الشهري: AED 36,724 - 55,086
  • عدد الوظائف الشاغرة: 1

المرشح المفضل

  • المستوى المهني: مبتدئ
  • عدد سنوات الخبرة : الحد الأدنى: 1 الحد الأقصى: 3
  • منطقة الإقامة: أبوظبي, الإمارات العربية المتحدة
  • الجنس: ذكر
  • الجنسية: الإمارات العربية المتحدة
  • الشهادة: بكالوريوس


وصف الشركة

This company is participating the 6th Jobs Abu Dhabi eFair from the 18th to 20th May, 2015.

تقدم الآن   أرسل إلى صديق     اعرض جميع الوظائف   اطبع   التبليغ عن إساءة استخدام