Quality and Control Officer

Job SummaryThis 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 AuditorsWhat will make you successful?

College graduate, preferably business / management courseExtensive knowledge of Wealth Management’s operations, products, and servicesAt least 5 years in financial services, has experience/background on compliance, audit, and operational risk management functionalities