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

Deliverables (high-level)

  • 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

Skills/ Technical Knowledge And Competencies Required

  • 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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