Support the onboarding of representatives, ensuring all internal procedures and regulatory requirements are met.
Ensure compliance with relevant regulatory frameworks through suitability assessments, ongoing monitoring, and periodic screenings, including annual declarations.
Review and assess suitability cases, escalating where necessary, particularly for cases with adverse findings and recommended supervisory actions.
Handle administrative matters related to representatives, including transfers and maintenance of identification records.
Assist in coordinating and executing internal events and company initiatives.
Perform general administrative and clerical duties as assigned.
Participate in ad-hoc tasks and projects as required.
Requirements:
Diploma or Bachelor's degree in any discipline.
Basic understanding of regulatory and compliance requirements within the financial services industry.
Experience in suitability assessments and monitoring processes is an advantage.
Good communication and interpersonal skills.
Proficient in Microsoft Office applications (Excel and Word).
Resourceful, proactive, and able to work well in a team.
Meticulous with strong attention to detail.
Able to manage multiple tasks, work under pressure, and adapt in a fast-paced environment.
