conduct risk manager

Bab ishtar Group

Role SummaryBuild and lead the enterprise Risk Management Framework (RMF), set/monitor risk appetite, and provide independent challenge across credit, market, liquidity, operational, conduct, outsourcing/third-party, cyber/information security, and model/technology risks in line with QCB expectations. QCB - BNPL Regulation (1)Key Responsibilities<ul><li>Risk governance &amp; appetite: Establish RMF, policies, and a risk-appetite statement with KRIs/thresholds; deliver board-quality MI and early-warning dashboards. QCB - BNPL Regulation (1)</li><li>Risk identification &amp; assessment: Run enterprise risk assessments (RCSA), scenarios, and stress tests; maintain a live risk register with owners/controls and drive remediation. QCB - BNPL Regulation (1)</li><li>Operational resilience &amp; incidents: Set standards for BCP/DR and data/cyber events; lead incident triage, root-cause analysis, and timely regulatory notifications with post-incident reviews. QCB - BNPL Regulation (1)</li><li>Outsourcing &amp; third-party risk: Approve critical/important outsourcing, enforce due diligence and contractual controls, monitor concentration risk, and maintain exit plans and a vendor register. QCB - BNPL Regulation (1)</li><li>Product &amp; conduct risk: Chair product/change risk reviews; ensure fair-treatment controls, clear customer communications, and complaints MI feeding root-cause fixes. QCB - BNPL Regulation (1)</li><li>Data &amp; reporting: Maintain accurate risk records and regulatory submissions aligned with QCB requirements. QCB - BNPL Regulation (1)</li><li>Culture &amp; capability: Embed strong risk culture via training, challenge, and partnership with Compliance/MLRO, Finance, Tech, and Operations. QCB - BNPL Regulation (1)</li></ul>Qualifications<ul><li>8&ndash;12+ years in financial-services risk (incl. senior leadership); GCC/Qatar exposure preferred.</li><li>Strong command of QCB expectations on governance, outsourcing/third-party oversight, operational resilience, conduct/complaints, and reporting. QCB - BNPL Regulation (1)</li><li>Proven RMF build-out, RCSA/stress-testing, and board-level MI communication.</li><li>Excellent stakeholder management and analytical rigor; Arabic &amp; English fluency a plus.</li></ul>Job Type: Full-timePay: QAR8,000.00 - QAR15,000.00 per monthExperience:<ul><li>risk: 8 years (Required)</li></ul>Location:<ul><li>Doha (Required)</li></ul>

Senior Risk Officer

United States Citigroup

Key Responsibilities<ul><li>Design, develop, and implement the bank s governance and conduct risk framework, policies, procedures, and standards in line with regulatory expectations and industry best practices.</li><li>Ensure the framework integrates effectively with the overall enterprise risk management (ERM) framework.</li><li>Develop and maintain a robust control environment for governance and conduct risks.</li></ul><ul><li>Conduct regular risk assessments to identify potential governance and conduct risks inherent in business activities, new products, services, and processes.</li><li>Analyze emerging regulatory requirements and industry trends to proactively identify and assess new or evolving governance and conduct risks.</li><li>Facilitate workshops and discussions with business units to understand their specific risk profiles and controls.</li></ul><ul><li>Establish and monitor key risk indicators (KRIs) and key performance indicators (KPIs) related to governance and conduct risk.</li><li>Develop and deliver comprehensive reports on governance and conduct risk exposures, control effectiveness, and mitigation activities to senior management, risk committees, and the Board of Directors.</li><li>Oversee the tracking and resolution of governance and conduct risk issues and incidents.</li></ul><ul><li>Provide expert advice and guidance to business units and support functions on governance and conduct risk matters, including policy interpretation and control implementation.</li><li>Develop and implement conduct-related policies (e.g., conflicts of interest, market conduct, data ethics, employee conduct) and ensure their effective communication and adoption.</li><li>Develop and deliver training programs to raise awareness and understanding of governance and conduct risk principles, policies, and expected behaviors across the bank.</li><li>Champion a strong risk culture and ethical conduct throughout the organization, promoting transparency, accountability, and integrity.</li><li>Stay abreast of changes in global and local regulatory landscapes pertaining to governance and conduct risk.</li><li>Assist in preparing for and responding to regulatory examinations and requests related to governance and conduct risk.</li></ul>QualificationsEducation<ul><li>Bachelor's degree in Finance, Business Administration, Law, Economics, or a related field.</li><li>Master's degree or relevant professional certifications (e.g., FRM, PRM, CAMS, ICA qualifications) are a plus.</li></ul>Skills &amp; Competencies<ul><li>Regulatory Knowledge: Understanding of banking regulations, corporate governance principles, and conduct risk expectations.</li><li>Analytical Skills: Excellent analytical and problem-solving abilities, with a keen eye for detail and the capacity to synthesize complex information.</li><li>Communication: Exceptional verbal and written communication skills, with the ability to articulate complex risk concepts to diverse audiences, including senior management and regulators.</li><li>Interpersonal Skills: Strong ability to build relationships, influence stakeholders, and collaborate effectively across all levels of the organization.</li><li>Strategic Thinking: Ability to think strategically and translate regulatory requirements and risk insights into practical and effective business solutions.</li><li>Project Management: Proven ability to manage multiple projects simultaneously, meet deadlines, and deliver high-quality results.</li><li>Integrity: Unquestionable integrity and ethical standards.</li><li>Technical Proficiency: Proficient in Microsoft Office Suite (Excel, PowerPoint, Word) and experience with GRC (Governance, Risk, and Compliance) software is a plus.</li></ul>

Portfolio And Conduct Risk Management

Commercial Bank of Dubai

Job Purpose: To lead and manage the governance framework for external sales agencies (specifically for Credit Cards and Mortgages), design and oversee internal and external incentive governance processes, and own the end-to-end vendor governance responsibilities for the Personal Banking Group (PBG). This role is critical in ensuring that all sales practices align with regulatory expectations, internal policies, and conduct risk standards. Principal Accountabilities: External Agency Governance (Credit Cards &amp; Mortgages) Establish and maintain a robust governance framework for third-party sales agencies. Oversee periodic quality reviews, including: <ul> <li>Call audits and scoring validation.</li> <li>Visa and documentation checks for agency staff.</li> <li>DNCR (Do Not Call Registry) compliance and telemarketing adherence.</li> <li>Monitoring of agency contract validity and renewal cycles.</li> <li>Complaints analysis and outlier performance reviews.</li> </ul> Collaborate with Business Development Managers (BDMs) and Risk teams to ensure agency performance aligns with internal standards and regulatory requirements Incentive Governance (Internal &amp; External) Design and implement incentive structures that promote ethical sales behavior and customer-centric outcomes. Ensure incentive plans are compliant with conduct risk frameworks and regulatory guidance. Monitor incentive effectiveness and recommend adjustments to mitigate mis-selling or conduct risk. Partner with HR, Sales, and Compliance to align incentive governance with broader organizational goals. Vendor Governance (PBG-wide) Own the governance of all vendors supporting PBG operations, including onboarding, performance monitoring, and contract compliance. Lead periodic vendor reviews and risk assessments. Ensure adherence to internal policies, service level agreements (SLAs), and regulatory obligations. Act as the primary liaison between BRG and Procurement/Legal for vendor-related matters. Conduct Risk Oversight Monitor and assess behaviors across customer-facing teams to ensure alignment with ethical standards and regulatory expectations. Identify and mitigate risks related to market conduct, mis-selling, and inappropriate customer interactions. Support the implementation of the Market Conduct Policy to uphold fair consumer outcomes and protect market integrity. Customer Experience Risk Management Evaluate customer journeys and touchpoints to identify operational or behavioral risks that could negatively impact customer satisfaction. Collaborate with product, service, and compliance teams to ensure customer-centric design and delivery of banking services. Drive initiatives that enhance transparency, responsiveness, and personalization in customer interactions. Stakeholder Engagement Act as a key point of contact for internal audits, regulatory reviews, and customer complaints escalations. Provide training and guidance to frontline staff on conduct risk awareness and customer experience standards. Continuous Improvement Lead reviews of conduct-related incidents and customer feedback to identify root causes and implement corrective actions. Promote a culture of ethical behavior, accountability, and continuous learning across the organization. Other Expert understanding of CPR regulations. Experience with Market Conduct-related initiatives &amp; audits Root-Cause Analysis skills and ability to turn issues into opportunities

Manager, Sales Governance & Oversight

Tether Operations Limited

<div>Join Tether and Shape the Future of Digital Finance
At Tether, we&rsquo;re not just building products, we&rsquo;re pioneering a global financial revolution. Our cutting-edge solutions empower businesses&mdash;from exchanges and wallets to payment processors and ATMs&mdash;to seamlessly integrate reserve-backed tokens across blockchains. By harnessing the power of blockchain technology, Tether enables you to store, send, and receive digital tokens instantly, securely, and globally, all at a fraction of the cost. Transparency is the bedrock of everything we do, ensuring trust in every transaction.
Innovate with Tether
Tether Finance: Our innovative product suite features the world&rsquo;s most trusted stablecoin, USDT, relied upon by hundreds of millions worldwide, alongside pioneering digital asset tokenization services.
But that&rsquo;s just the beginning:
Tether Power: Driving sustainable growth, our energy solutions optimize excess power for Bitcoin mining using eco-friendly practices in state-of-the-art, geo-diverse facilities.
Tether Data: Fueling breakthroughs in AI and peer-to-peer technology, we reduce infrastructure costs and enhance global communications with cutting-edge solutions like KEET, our flagship app that redefines secure and private data sharing.
Tether Education: Democratizing access to top-tier digital learning, we empower individuals to thrive in the digital and gig economies, driving global growth and opportunity.
Tether Evolution: At the intersection of technology and human potential, we are pushing the boundaries of what is possible, crafting a future where innovation and human capabilities merge in powerful, unprecedented ways.
Why Join Us?
Our team is a global talent powerhouse, working remotely from every corner of the world. If you&rsquo;re passionate about making a mark in the fintech space, this is your opportunity to collaborate with some of the brightest minds, pushing boundaries and setting new standards. We&rsquo;ve grown fast, stayed lean, and secured our place as a leader in the industry.
If you have excellent English communication skills and are ready to contribute to the most innovative platform on the planet, Tether is the place for you.
Are you ready to be part of the future?
About the job
The Senior Compliance Specialist will lead the implementation and monitoring of the company&rsquo;s compliance framework across key conduct and regulatory domains, including Conflicts of Interest, Anti-Bribery &amp; Corruption, Fraud, Market Abuse, Data Protection, Outsourcing, and Ethics.
This position plays a strategic role in embedding a culture of integrity, managing cross-border compliance risks, and ensuring adherence to global regulatory expectations.
Responsibilities<ul><li>
Regulatory Oversight: Implement and maintain compliance policies and controls related to conduct risk, ABC, CoI, fraud, data protection, market abuse, and outsourcing.</li><li>
Advisory: Advise management and business units on ethical practices, conflicts management, and third-party risk compliance.</li><li>
Monitoring &amp; Assurance: Perform periodic compliance risk assessments, thematic reviews, and control testing programs.</li><li>
Incident Management: Oversee investigations into potential misconduct, conflicts, or regulatory breaches, ensuring timely remediation and escalation.</li><li>
Training &amp; Culture: Design and deliver conduct risk and ethics training across all business units.</li><li>
Data Protection: Support in ensuring compliance with the applicable data protection regimes.</li><li>
Governance &amp; Reporting: Prepare reports for the Board and regulators summarizing compliance findings, trends, and remediation progress.</li><li>
Regulatory Change Management: Monitor new regulations and ethical standards and ensure timely implementation.</li></ul>
Mentorship: Supervise junior compliance staff, ensuring consistency in compliance monitoring and advisory work.<ul><li> 
Education: Bachelor&rsquo;s degree in Law, Business, Finance or a related discipline.</li><li>
Experience: 3-5 years of experience in regulatory compliance, conduct risk, or ethics programs within financial services.</li><li>
Certifications: ICA, CFE, CAFS, CCAS, CCEP-I, CIPP/E, CFCS, or equivalent preferred.</li><li>
Proven expertise in managing compliance frameworks for CoI, ABC, FRM, and outsourcing.</li><li>
Excellent analytical, investigative, and communication skills with the ability to translate regulatory requirements into operational controls.</li><li>
Fluency in English is required; proficiency in an additional language is highly preferred.</li></ul>
Important information for candidates 
Recruitment scams have become increasingly common. To protect yourself, please keep the following in mind when applying for roles:<ul><li>
Apply only through our official channels. We do not use third-party platforms or agencies for recruitment unless clearly stated. All open roles are listed on our official careers page: https://tether.recruitee.com/</li><li>
Verify the recruiter&rsquo;s identity. All our recruiters have verified LinkedIn profiles. If you&rsquo;re unsure, you can confirm their identity by checking their profile or contacting us through our website.</li><li>
Be cautious of unusual communication methods. We do not conduct interviews over WhatsApp, Telegram, or SMS. All communication is done through official company emails and platforms.</li><li>
Double-check email addresses. All communication from us will come from emails ending in @tether.to or @tether.io</li><li>
We will never request payment or financial details. If someone asks for personal financial information or payment at any point during the hiring process, it is a scam. Please report it immediately.</li></ul>
When in doubt, feel free to reach out through our official website.</div>

Senior Regulatory Compliance Specialist (Non-AML) - 100% remote

ADIB - Abu Dhabi Islamic Bank

<div>Job Description</div><div> </div><div>Role: Head of Consumer Protection and Conduct Management</div><div> </div><div>Location: Abu Dhabi HQ</div><div> </div><div>Role Purpose:</div><div>Oversee the implementation and effectiveness of Consumer Protection initiatives across the Bank, and ensure ongoing sustainability</div><div>Be the subject matter expert to provide guidance, advise and support on any matters related to Consumer Protection raised across the Bank</div><div>Act as the key point of contact for Consumer Protection Regulations (CPR) and Conduct Risk management</div><div> </div><div>Key Accountabilities of the Role:</div><div>Responsible for creating and implementing an effective Bank wide consumer protection and conduct risk management program defining responsibilities spread across the three lines of defence, staff awareness and consumer education initiatives</div><div>Primarily responsible for establishing and subsequently overseeing the CP/CRM department</div><div>Involved in the setup of the conduct risk committee including development of terms of reference, charter and responsibilities</div><div>In line with the mandate of the conduct risk committee and the CP/CRM department, ensure compliance with applicable consumer protection and (business and market) conduct risk laws, regulatory requirements, policies, and procedures for all the products, services, and channels (existing and new)</div><div>Ownership of developing and overseeing the CPR regulatory control framework, to advise, prevent or deal with violations of consumer protection or conduct risk related guidelines and internal policies</div><div>Overall responsibility for complying with the consumer protection and conduct risk regulations and obligations of the organization including development of policies and procedures, direction and initiatives, strategic development, defining and monitoring performance</div><div>Develop actionable business strategies and plans that ensure alignment with short-term and long-term bank wide consumer protection and conduct objectives</div><div>Act as a central focal point for all external/ regulatory reporting requirements (e.g. CBUAE annual reporting) including obtaining datapoints or information from business and liaising with Group Compliance to submit reports to the regulator</div><div>Active engagement with all channels, business units and enablement functions within the Bank to ensure that consumer protection and conduct risk requirements are properly understood and implemented</div><div>Responsible for overseeing the timely implementation of the CPR program beyond December 2021 including technology initiatives and system. This involves interaction with different stakeholders across the Bank including IT, Info-sec, Operations, Risk, Compliance</div><div>Identify any gaps escalated during the implementation and liaise with concerned departments for resolution</div><div>Plan for the identification and remediation of any gaps and ensure sustainability in the operationalization of process changes.</div><div>Provide technical advice on the CPR implementation</div><div>Provide input on the Bank's risk appetite in line with the applicable consumer protection and conduct risk requirements</div><div>Define Key Risk Indicators (KRIs), Key Performance Indicators (KPIs) and metrics related to Consumer Protection and business and market conduct</div><div>Responsible for the creation and submission of internal (senior management and board) and external MI reporting packs</div>

Head of Consumer Protection and Conduct Management

HSBC

<div><div>Some careers have more impact than others.</div><div>
If you&rsquo;re looking for a career where you can make a real impression, join HSBC and discover how valued you&rsquo;ll be.</div><div>
HSBC is one of the largest banking and financial services organisations in the world, with operations in 62 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions.</div>
We are currently seeking an experienced professional to join our team in the role of Assistant Vice President, Wholesale Non Financial Risk 
Principal responsibilities
<ul><li>Lead and provide SME support on Business Risk related matters of risk identification, mitigation, governance, insights, and control activities for the above verticals along with engaging a diverse set of stake holders in wider Wholesale Business Risk, 1LOD, 2LOD, DBS, CMB, GB and other business/functional lines if necessary.</li><li>
Actively support the Wholesale Business Risk Senior Management in managing Conduct Risk and ensuring that all governance committees across the Wholesale Business Risk team meet the requirements of the risk governance framework as well as ensuring the appropriate messaging, key risks are escalated through the appropriate business forums. This will include governance of the Sales Outcomes Testing process across global sites.</li><li>
Provide guidance to first line management regarding Risk Management framework and facilitate assessment of risks and controls, identification of weaknesses and issues relevant.</li><li>
Provide subject matter expertise (SME) in the areas of primary responsibilities. This should include due consideration to both internal and external directives from the risk stewards not only from the specified areas but also from Compliance, Operational Risk, Legal, Finance.</li><li>
Support all relevant regional team of the function or country team during risk steward review or internal audit. Ensure WSB remains aligned to any applicable framework or regulatory control environment requirements (i.e. SOX, IFRS, BASEL III).</li><li>
Effective implementation of framework without breach of timelines. Nil observations from risk stewards, internal audit, and external regulators. Feedback from function, on support during reviews and audits. In line with global and regional WSB risk strategy. Ensure high data quality in system of records and timely refresh of information as per the policies/ framework. Timely cascade of updates on any relevant changes including regulatory changes to policy or framework or projects impacting the primary responsibilities.</li><li>
Monitor for completion of training (online/ classroom) and conduct awareness sessions to enhance understanding of WSB colleagues in proactive management of risk.</li><li>
Facilitate development of Key indicators facilitating proactive management of risk
</li></ul>Qualifications<ul><li>
Strong understanding of Risk Management including Risk and Control Assessment (RCA), assessing Control Rating, Issue and Action Management, Internal / External event management and ensuring adequate data quality within the risk and control frameworks. Experience in risk management within a global organization. Experience in supporting any of the following would be an added advantage: Resilience Risk, Cyber Security Risk, Regulatory risk, Operational Risk. Competent decision-maker, making considered and timely decisions, particularly when under high pressure. Strong analytical skills.</li><li>
Strong stakeholder management and influencing skills, complemented by interpersonal and communication skills with a proven ability to communicate effectively and confidently at all levels. Being a quick learner and the ability to be a Subject Matter Expert by undertaking a deep dive into multiple Business Risk areas. Flexibility and adaptability &ndash; competing priorities that are potentially highly restricted in nature, unpredictable and wide ranging, complex and time sensitive requires the simultaneous handling of a broad range of issues and resourcing.</li><li>
Matrix organization &ndash; delivering against deadlines working across multi-jurisdictions and with multiple stakeholders. Proven ability to work in matrix management structure. Stakeholder considerations &ndash; the role holder produces the highest quality, most across Product Lines / Lines of Businesses within Wholesale remit (CMB, GB, GPS, GTS) at a global and regional level, and several other Global Businesses and Global Functions including but not limited to DBS, MSS and WPB.</li><li>
Succinct output that is suitable for senior executive management and external parties at all times, regardless of pressures. Proactive identification of issues and initiation of structured discussions with the key stakeholders across HSBC. Ability to work independently without close supervision and collaborate effectively as part of a team. Well-developed written and verbal communication. Good level of business acumen and commercial awareness, including economic, cultural, procedural &amp; regulatory issues</li><li>
A Bachelor / Master degree in Finance / Business Administration / Financial Risk Management or Equivalent. Strong MS-Excel and Power Point skills. Exposure to Qliksense / Power BI tools</li></ul>
You&rsquo;ll achieve more at HSBC<div>
HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and, opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.&rdquo;</div><div> 
</div><div>Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.
</div>***Issued By HSBC Electronic Data Processing (India) Private LTD***</div>

Assistant Vice President, Wholesale Non Financial Risk

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Senior Regulatory Compliance Specialist (Non-AML) - 100% remote

Assistant Vice President, Wholesale Non Financial Risk