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▪ Carry out desk based and thematic reviews of the Wealth Management Division, as part of the organisations second line of defense and in line with the firm's risk-based compliance monitoring programme ▪ Presentation of monitoring activity findings and remediation requirements to Senior Management and key business stakeholders as required ▪ Composition and delivery of reports of completed reviews and monitoring activities ▪ Tracking and validation of remedial action points
Other associated responsibilities to include;
▪ Review, investigation and clearance of market abuse alerts generated through the firm's automated surveillance tools ▪ Significant holdings monitoring ▪ Takeover Panel monitoring ▪ Approval and oversight of staff dealing ▪ Assist in the production of Management Information