Summary
Overview
Work History
Education
Skills
Timeline
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Rawan Alhobayb

Senior Manager Documents Review & Assessment
Riaydh

Summary

With over a decade of extensive experience in the financial sector, I have developed deep expertise in Compliance, Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF), and Brokerage. My professional journey is underpinned by a strong academic foundation, having earned a Bachelor's degree in Business Administration with a concentration in Finance and Banking. I am a Certified Compliance Officer (CCO) and have successfully completed the Capital Market Exams (CME1, CME2, and CME3), along with achieving the CMA Advanced Qualification and GRCO certification.

My career is marked by a steadfast commitment to ensuring regulatory compliance and promoting a culture of integrity within financial institutions.

Overview

10
10
years of professional experience
4
4
years of post-secondary education

Work History

Senior Manager Documents Review and Assessment

Arab National Bank (anb)
01.2023 - Current

• Conduct thorough reviews of various organizational documents, such as policies, procedures, products, services, contracts, and reports, to ensure compliance with applicable laws, regulations, and internal guidelines.

• Assess the effectiveness and adequacy of compliance controls and systems by analyzing data and conducting risk assessments.

• Stay up-to-date with changes in relevant regulations and industry best practices, ensuring the organization remains compliant and promptly addressing any necessary updates.

• Advice to comply with policies,procedures, program, manual and ToR related to Compliance including recommendations/ enhancement / modifications as required.

• Monitor Compliance action plan for the assigned Group/Divisions taking into consideration any specific regulatory requirements

• Ensure proper advices, reporting, monitoring & Controls of all actions initiated with Group/Divisions.


Compliance Advisory Senior Manager

Arab National Bank (anb)
02.2021 - 12.2022

• Provide Advice on strategic compliance action plan using risk-based approach covering all businesses and functions taking into consideration of business needs and external environment
• Advice to comply with policies and procedures related to Compliance including recommendations/ enhancement / modifications as required.

• Monitor Compliance action plan for the assigned Group/Divisions taking into consideration any specific regulatory requirements
• Ensure proper advices, reporting, monitoring & Controls of all actions initiated with Group/Divisions.

• By clearly understanding the regulatory requirements as and when communicated by the relevant departments
• By following laid down Policies / Procedures for mitigation / detection of Compliance, ML & TF Risks.

Assistant Manager- Compliance Advisory

Arab National Bank (anb)
08.2019 - 01.2021
  • Advice to comply with policies and procedures related to Compliance including recommendations/ enhancement / modifications as required
  • Manage to implement SAMA Regulations and ensure that the Bank operates to the highest standards of conduct and meets all regulatory requirements and compliance
  • Manage to establish a professional relationship with the Bank’ regulators
  • Provide recommendations to improve effectiveness and efficiency of internal controls during all engagements/involvement

Compliance Advisory Senior Officer

Arab National Bank (anb)
09.2018 - 07.2019
  • Work closely with Business/Support functions to identify key compliance risks and develop an action plan to eliminate them and monitor progress.
  • Work with line management to create a compliance culture, and to promote that Compliance is a positive contribution to the Bank’s success.
  • Provide proactive advisory service to business/support staff in respect of regulatory, reputation and ethical issues.
  • Identify and clarify laws, instructions, policies and procedures that are applied.
  • Ensure all the approved policies and procedures incorporated and continuously updated complied and implemented.
  • Maintaining and updating the relevant Compliance Matrices/Grids.

Compliance Unit Manager

ANB Capital
03.2018 - 08.2018

• Ensure that all new and existing regulatory requirements are clearly and effectively communicated to Business/Support functions and listed within the Compliance Matrix and gets updated frequently.

• Work closely with Business/Support functions and senior management to identify key non-compliance risks and develop an action plans and monitor progress.

• Monitor the result of the compliance training program and ensure promoting compliance culture and provide proactive advisory to staff and management in respect of regulatory, reputation and ethical issues and support with proper interpretation and guidance of regulations.

• Review and approve the company’s new and revised policies, procedures, manuals and framework to incorporate the relevant rules and regulations and recommend a comprehensive monitoring mechanisms and controls as deemed necessary.

• Managing the relationship with regulators and preparing reports to the Compliance & Audit Committees and Board of Directors. Submit regular mandated reports and required notifications to the regulators within stated timeframe.

Compliance & AML Officer

ANB Capital
06.2015 - 02.2018

• Review and approve the release or amendments of products, services, Ads materials, system enhancements, request of opening high-risk accounts and SLAs and ensure that its in-line with all relevant rules and regulations.

• Manage the process of registering and cancelation or amendments in the registration for the company’s staff within CMA website, and represent ANB Invest on all compliance issues with external parties, such as correspondent organizations and the regulator.

• Maintenance of CRSA Gaps and conducting tests as required, coordinate to ensure proper implementation of FATCA requirements within the company.

• Review the company’s new and revised policies, procedures, manuals and framework to incorporate the relevant rules and regulations and recommend a comprehensive monitoring mechanisms and controls as deemed necessary.

GCC Dealer

ANB Capital
05.2014 - 05.2015

• Provide brokerage services such as shares, places clients orders in shares, bonds.

• Maintain contact with regional financial institutions.

• Provide input regarding investment product procedures.

• Monitoring and reviewing portfolios.

• Communication of company’s management of any errors deficiency in services and issues that might affect business.

Education

Bachelors of Business Administration - Finance And Banking

Dar Al Uloom University
Riyadh, Saudi Arabia
08.2009 - 12.2013

Skills

  • Risk analysis
  • Compliance documentation
  • Regulatory Policies
  • Excellent risk assessment abilities
  • Compliance controls
  • Compliance reviews
  • Managerial skills

Timeline

Senior Manager Documents Review and Assessment

Arab National Bank (anb)
01.2023 - Current

Compliance Advisory Senior Manager

Arab National Bank (anb)
02.2021 - 12.2022

Assistant Manager- Compliance Advisory

Arab National Bank (anb)
08.2019 - 01.2021

Compliance Advisory Senior Officer

Arab National Bank (anb)
09.2018 - 07.2019

Compliance Unit Manager

ANB Capital
03.2018 - 08.2018

Compliance & AML Officer

ANB Capital
06.2015 - 02.2018

GCC Dealer

ANB Capital
05.2014 - 05.2015

Bachelors of Business Administration - Finance And Banking

Dar Al Uloom University
08.2009 - 12.2013
Rawan AlhobaybSenior Manager Documents Review & Assessment