Quality and Control Officer

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.
• 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...