Act as a Subject Matter Expert on front office key controls, product due diligence, product risk rating, best execution, investment suitability, cross border rules, and other control reviews
Job Summary
Act as a Subject Matter Expert on front office key controls, product due diligence, product risk rating, best execution, investment suitability, cross border rules, and other control reviews.
Support business in both internal and regulatory audits and other initiatives while promoting risk culture by providing advisory and training to Front Office on key controls.
Identify potential areas of compliance vulnerability and risk, develop corrective action plans, and escalate non-compliance findings to stakeholders to ensure proper closure before issuing management reports.
Matching Summary
Act as a Subject Matter Expert on front office key controls, product due diligence, product risk rating, best execution, investment suitability, cross border rules, and other control reviews.