Job Description
A prestigious Wealth Manager is currently seeking an Assurance Analyst to oversee the onboarding process to ensure that the business is adhering to relevant policies, procedures and regulatory requirements.
Role Responsibilities;
- Monitor trade documentation and ensure that pre and post trade documentation are in line with regulatory suitability
- Investigate potential risk associated with new and existing clients
- Run in depth review of client documentation and assess Suitability and AML documentation
- Support and advise the Front office
- Investigate and Support Suspicious Activity
Role Requirements;
- Strong knowledge of KYC, Suitability and AML/Source of Wealth
- Experience in an Assurance, Risk, AML or Compliance role in a Wealth Manager
- Holds Investment Related Level 4 qualification
