Job Summary
- 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.
- Conducts 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 definition and in uploading of rates/prices.
- Acts as alternate verifier/approver in the Wealth Management System for Client onboarding, ownership creation and account creation.
- As may be required, support and/or implement other initiatives and directives of WMG.
- Attain acceptable rating as per defined guidelines of Internal and External Auditors
What will make you successful
- College graduate, preferably business / management course
- Extensive knowledge of Wealth Management's operations, products, and services
- At least 5 years in financial services, has experience/background on compliance, audit, and operational risk management functionalities
