This role is responsible for providing support to Wealth Management Group (WMG) to ensure efficiency and effectiveness of compliance, risk management and internal control. Functions also include budget planning & monitoring, reportorial requirements, and other administrative & support functions.
How will you contribute?
Act as alternate Deputy Compliance Officer or Compliance point of contact for Wealth Management divisions to ensure compliance on risk, regulatory and governance requirements of all WMG Divisions.
Conduct monitoring of document deficiencies related to onboarding and financial transactions to ensure that these are properly managed, tracked and closed.
Performs account reviews for alerted transactions of WMG clients.
Ensures timely completion and submission of the reportorial requirements of the group.
Acts as alternate verifier or alternate maker for product code def...