Compliance Monitoring and Testing Analyst (CMAT)
Dicetek LLC
Date: 1 day ago
City: Abu Dhabi
Contract type: Contractor
CMAT Analyst Responsibilities (high-level)
- Adhere with Board Approved CMAT Methodology
- Execute specific CMAT activities across the Assessment Areas identified in the approved CMAT plan within predefined TATs
- Leading the planning, fieldwork and reporting of CMAT Reviews
- Liaise with the Assessment Areas on the approach, methodology, expectations, walkthroughs and their role in the CMAT assessment
- Assess controls design and operating effectiveness, review of evidence & documentation, risks & controls, in adherence with compliance policies and regulations
- Perform testing of controls as per plan and documentation of test outcome including evidence and record exceptions in the templates approved by the bank
- Responsible for communicating material assurance findings and breaches to stakeholders including Business Units and compliance teams (including financial crime and regulatory compliance teams)
- Document CMAT Reports containing findings and recommendations based on the design and operating effectiveness reviews
- Ensure issues/breaches identified during CMAT reviews are raised and reported in the bank’s GRC system
- CMAT Reports
- Testing Sheets an Working Papers- competed and timely stored in compliance shared folder
- Other supporting evidence to substantiate findings- timely stored on Compliance shared folder
- Follow-up reports outlining the status of closure of findings
- MI/ Dashboard- Insights, root cause review findings for continuous improvements
- Good management information reporting and report writing skills
- Knowledge of Compliance frameworks i.e.: Compliance Charter/ Compliance policies and procedures
- Knowledge or client onboarding including (KYC/ FATCA/ ODD/ Screening)
- Bilingual English and Arabic is an advantage
- BA/ BSc or higher degree in business, finance or any other related subject
- Candidate should posses minimum 3 years experience in Compliance monitoring or Internal Audit with exposure of Compliance Audits or similar
- Ability to build constructive and effective relationship with peers and other stakeholders.
- Strong communication analytical, written and oral communication skills
- Team player with ability to work on own initiative
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