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.
  
  

• 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

• 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