Compliance Executive- Private Banking (4 months contract) recruitment
DUTIES Private Banking (PB) Compliance takes an active role in guiding the regional manager to supervise the PB business, and works closely with PB Investment Professionals on a day-to-day basis. Advice given includes in areas such as evaluation of risk profile and suitability of products, account supervision and approval, assessing client background and suitability, compliance with selling restrictions and handling client complaints.
SKILLS We are looking for candidates who will assist in providing compliance support to the PB business which would include addressing day-to-day questions and issues that arise in the normal course of business as well as assessing the efforts of investment professionals to protect the firm’s reputation/client interests.
EDUCATION Ideally the candidate will be a university degree holder or have the relevant professional or industry qualification.