Manager, Enforcement

Job Purpose:

To foster and maintain confidence in the financial services industry in the DIFC by conducting investigations, enforcing compliance with the regulatory framework and initiating action against those who fail to comply with statutory obligations.

Key Responsibilities:

Enforcement

• Prevent detect and restrain conduct that causes or may cause damage to the reputation of the DIFC.
• Receive, assess, and respond to allegations of misconduct.
• Carry out investigations and prepare briefs of evidence and support litigation activities.
• Support the DFSA’s supervisory divisions in carrying out their regulatory activities.
• Participate in outreach activities that promote the DFSA’s objectives.
• Develop and enhance relationships with the DFSA’s internal and external stakeholders.

Policies, Systems, Processes & Procedures

• Implement departmental policies, systems and procedure so that all relevant procedural/legislative requirements are fulfilled while delivering a quality, cost-effective service.
• Operating within the first line of defence, you will share responsibility for ongoing risk management while promoting a strong risk culture within the division and across the organisation in line with the DFSA Risk Management Framework.

Qualifications, Experience & Skills:

Eligibility Criteria:

• Bachelor’s degree or higher qualification in law, accounting, finance, or related disciplines.

Minimum Experience:

• 5-7 years of experience in a regulatory or prosecutorial role with particular emphasis on the investigation, litigation and prosecution of offenders.

Knowledge, Skills & Attributes:

• Knowledge of financial services, regulation, investigation, court procedure and practice.
• English (Arabic an advantage).
• Good investigation and advocacy skills.
• Good interpersonal skills and is a team player.
• Good written and oral communications skills.
• Good planning and organisational skills.
• Good legal acumen.
• Manages work flows well.
• Results orientated
• Organised and punctual;