Job Purpose and Objective
- ADSS is a successful retail and institutional brokerage based in Abu Dhabi. The company is currently undergoing a multi-year transformation to become a fast growing, purpose-led, data-driven enterprise that delivers market-leading personalized content, propositions and experiences to traders. To reinforce client-centricity the company structure, technology and operations are being redesigned alongside the crafting of a high-performance culture underpinned by The ADSS Way. The objective is for ADSS to become a dynamic and innovative, trusted market leader as measured by feedback from clients, talent, shareholders and competitors.
- The Associate Transaction Monitoring is responsible for supporting the Manager, Compliance Trade Monitoring & Surveillance in identifying, investigating, and escalating potential breaches of market conduct, financial crime, and relevant regulations. This role contributes to ADSS's objective of safeguarding a compliant and transparent trading environment while supporting ongoing transformation and growth initiatives.
Key Responsibilities and Accountabilities
- Monitor trading activities across multiple markets and products to detect indicators of market abuse, manipulation, or unusual patterns.
- Assist in designing and enhancing surveillance methodologies and supporting systems.
- Execute scheduled and ad-hoc reviews of trading behavior; document findings and escalate concerns in accordance with established procedures.
- Analyze alerts generated by trade surveillance systems and assess whether further investigation is warranted.
- Support implementation, integration, and ongoing evaluation of surveillance technology solutions.
- Prepare structured reports for the Manager and senior stakeholders summarizing findings and recommended actions.
- Conduct reviews of trading and transaction data for compliance with relevant AML, CTF, and market conduct requirements.
- Contribute to the timely and accurate completion of regulatory reporting related to trade surveillance activities.
- Maintain comprehensive and up-to-date records of all monitoring, investigation, and escalation actions as required by policy and regulation.
- Participate in the ongoing assessment and enhancement of control frameworks and surveillance processes.
- Collaborate with front office, risk, IT, and compliance teams to support a strong compliance culture and effective communication across business units.
- Remain informed of regulatory development, financial crime trends, and leading practices in trade surveillance.
- Contribute to process improvement efforts and technology upgrades as recommended by the Manager or business needs.
- Undertake additional duties as assigned related to the effective functioning of the surveillance program.
Qualifications
- Bachelor's degree in Finance, Economics, Business, Law, or a related discipline.
- Professional certification in compliance or financial markets (e.g., ACAMS, CFA, ICA) is preferred.
Experience
- 25 years experience in trade surveillance, market monitoring, or compliance roles within financial services.
- Exposure to the UAE and leading international regulatory environments is desirable.
- Knowledge of derivatives and securities trading, with demonstrable interest in financial crime risk.
Skills and Competencies
- Solid understanding of regulatory frameworks relevant to trading activities in the UAE (SCA, UAE Central Bank), as well as international markets.
- Familiarity with AML/CTF, anti-bribery, corruption, and market conduct principles.
- Strong analytical skills with the ability to interpret large datasets and identify compliance risks.
- Effective written and verbal communication; capable of preparing clear and concise reports.
- Attention to detail and organizational skills; capacity to prioritize tasks and meet deadlines.
- Experience in using trade surveillance platforms and Microsoft Office applications.
