Quality and Control Officer

About the role

The Quality and Control Officer supports the Wealth Management Group (WMG) by ensuring compliance, risk management and internal controls are effective and efficient. The role also covers budget planning, monitoring, and meeting reportorial obligations.

Key responsibilities

• Act as alternate Deputy Compliance Officer or compliance point of contact for Wealth Management divisions.
• Monitor document deficiencies related to onboarding and financial transactions, ensuring proper tracking and closure.
• Perform account reviews for alerted transactions of WMG clients.
• Ensure timely completion and submission of group reportorial requirements.
• Serve as alternate verifier or maker for product code definition and uploading of rates/prices.
• Act as alternate verifier/approver in the Wealth Management System for client onboarding, ownership creation and account creation.
• Support and implement other WMG initiatives and directives as required.
• Achieve acceptable ratings from internal and external auditors.

Required profile

• College graduate, preferably in business or management.
• Extensive knowledge of Wealth Management operations, products and services.
• At least 5 years of experience in financial services with a background in compliance, audit, and operational risk management.

Required skills