With primary focus on providing compliance monitoring advisory, you will be skilled in performing 2LOD testing across investment suitability, pricing, cross border, PA Dealing, licensing. You will work with the team in developing the Compliance Monitoring AMK/KYC framework, report findings and remediation.
To qualify for the role, you should possess a degree in Accounting, Law, Risk Management and/or related discipline, with at least 10 years’ experience in compliance or audit or related field, preferably in Wealth Management. You should be a good communicator, capable of interacting with senior stakeholders and the regulators. Independent, good energy level and good business judgement are desirable traits.
Interested applicants, please reach out to me at firstname.lastname@example.org . Your interest will be treated with the strictest confidentiality.
EA Reg. No. R1105493 | EA Licence No. 16S7973