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Principal Responsibilities, Accountabilities and Deliverables of Role:
Support the establishment and maintenance of the Regulatory Register and Key Obligations
Support the Key Obligations Risk Assessment process and coordinate the reporting of the status and results in the Compliance Report
Coordinate the Compliance Issues management process including:
Entering Bahrain Issues on the GRC Tool
Periodic follow up on progress updates from Action Owners
Coordinate the Issue closure requests
Coordinate the roll out of the Group Compliance E-learning initiatives in the Bahrain Unit including:
Establishing staff details to be assigned training
Follow up with staff for completion of training including following the escalation process for non-completion
Maintain and coordinate the Bahrain Unit Regulatory Compliance training programme including ensuring that all new joiners are trained on mandatory topics and maintaining the training records
Support the annual Compliance Risk Assessment process
Establish and perform an annual Compliance Monitoring Plan
Support the following processes for Bahrain Units including maintaining central Register and supporting records
Key Regulatory Communications
Key Persons Register
Gifts and Entertainment
Support the implementation of the Group Regulatory Compliance Policies and Standard in Bahrain including:
Completing Control Self-Assessments
Logging and tracked actions required for implementation
Preparing any Addendums and Dispensations
Communication to the business o Documenting supporting procedures
Preparing updates for the Compliance and Financial Crime Oversight Committee
In coordination with the Group Compliance Policy/Standard owners support the business with queries on the Regulatory Compliance Policies and Standards
Preparation of the Bahrain Unit Senior Management Compliance Report
Support the preparation for regulatory prudential meeting and examination.
Any other activities as and when required.
Risk, Compliance & Business Continuity:
At all times, act with due care, skill and diligence to ensure compliance with the company's risk culture, policies and procedures, Code of Conduct and Values. Escalate risk and compliance issues in a timely manner to your line manager, and ensure that all mandatory training is completed to schedule. Participate in exercises to rehearse the banks response to an emergency situation (i.e. evacuation exercises and Business Continuity tests)
Job Context (Circumstances & environment surrounding the job):
This role is based in Head Office, Bahrain.
5+ years experience in compliance related role
Strong computer skills including knowledge of project management systems.
Education / Certifications
Minimum Bachelor degree
10+ years of experience in the financial services industry. Preferably with a strong background in supporting the operational activities of running a compliance department, particularly compliance monitoring
Self-motivated, and pro-active team player with strong organizational skills. Strong written and verbal communication skills with an ability to foster a collaborative working relationship with multiple functional areas. Excellent analytical, technical and proble
Bahrain Compliance and Financial Crime Committee – attendance as and when required