Regulatory Compliance Manager (12 month rolling contract)

Responsibilities

Regulatory Assurance & Oversight

• Lead and oversee recurring regulatory compliance assessments through the Regulatory Management System (RMS) in line with defined assessment cycles.
• Review assessment outcomes, supporting evidence, and responses to identify regulatory gaps, breaches, and control weaknesses.
• Drive follow-ups with business owners on open regulatory findings and remediation actions.
• Maintain oversight of regulatory breach registers and ensure timely escalation of material issues.
• Oversee non-regulatory assurance activities where required across the Bank.

Regulatory Engagement & CBUAE Liaison

• Actively support and coordinate regulatory examinations, inspections, and information requests from the CBUAE and other authorities.
• Manage and oversee regulatory correspondence, submissions, approvals, and returns to the CBUAE.
• Ensure all ongoing regulatory reporting and submissions are completed accurately and within agreed timelines.
• Review and quality-assure regulatory notices prior to internal circulation to ensure regulatory intent, key actions, ownership, and deadlines are clearly articulated.

Regulatory Advisory & Governance

• Provide senior regulatory advisory support to internal stakeholders on regulatory interpretation, implementation, and impact.
• Analyse new and amended regulations, assess business impact, and coordinate responses and implementation actions.
• Maintain and enhance the internal regulatory library, including detailed article-by-article mapping of key CBUAE regulations.
• Prepare and present regulatory compliance updates, dashboards, and MI to senior management and governance committees.
• Lead preparation of regulatory submissions to the Compliance Committee, Board Risk Committee, and other governance forums.

FATCA / CRS & Regulatory Programs

• Oversee FATCA and CRS compliance obligations, including governance, monitoring, reporting, and stakeholder coordination.
• Take responsibility for annual FATCA/CRS reporting, including customer data preparation, validation, and submission.

Policies, Controls & Training

• Review and challenge policies, procedures, and product programs to ensure regulatory requirements are fully embedded.
• Identify regulatory risks and recommend appropriate mitigating controls and enhancements.
• Support the development and delivery of regulatory training and awareness initiatives, both planned and trigger-based.

Leadership & Operational Support

• Provide oversight and guidance to Regulatory Officers, ensuring quality, consistency, and timely delivery of outputs.
• Ensure preparation and distribution of weekly regulatory dashboards, priorities, and internal MI.
• Act as a trusted senior member of the Compliance function, supporting the Head of Regulatory Compliance as required.
• Carry out additional duties consistent with the role as assigned by the Head of Regulatory Compliance or Head of Compliance.

Governance & Independence

• Reports to the Head of Regulatory Compliance, who reports to the Head of Compliance with unrestricted access to the Board.
• Operates independently within defined mandates, policies, and governance frameworks.

Requirements

• Bachelor’s degree (minimum).
• Professional compliance or regulatory qualifications preferred (e.g. ACAMS or equivalent internationally recognised certifications).
• Minimum 8 years’ experience within banking or financial services.
• At least 5 years’ experience in Regulatory Compliance or a closely related regulatory function (mandatory).
• Prior experience in Audit or Legal (minimum 2 years) is a strong advantage.
• Strong, practical knowledge of CBUAE regulations and regulatory frameworks.
• Excellent stakeholder management and communication skills.
• Strong analytical, problem-solving, and decision-making capability.
• High attention to detail with a structured and organised approach.
• Ability to operate independently at a senior level while leading and supporting others.
• High professional integrity and adherence to ethical and conduct standards.

Preferred Qualifications

• Experience in a senior regulatory role within the banking or financial services industry.
• Strong understanding of FATCA and CRS compliance requirements.
• Excellent knowledge of regulatory reporting processes and requirements.

About the Company

Capitex is a leading global provider of compliance, risk, and regulatory solutions. With a strong focus on delivering tailored services to financial institutions, Capitex helps clients navigate complex regulatory landscapes and maintain compliance with local and international regulations.