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Monitor client activity and AUM i.e., portfolio management/investment advice/customer visits to ensure compliance with the agreed risk limits; ensure any personal transactions are free from conflict of interest. Discuss any anomalies or conflict of interest with the appropriate Portfolio Manager/Advisor and/or directly with line management.
Overseeing the implementation of projects and other initiatives (e.g. changes in industry best practice, implementation of regulatory reform)
Own the preparation and submission of all required regulatory and other internal reports. Prepare and submit authorised reports