Investment Suitability & Controls Specialist

about the company

Our client is a Bank hiring for an Investment Suitability & Controls specialist.

about the job

• Drive the implementation and continuous improvement of internal governance frameworks related to investment suitability and trade surveillance.

• Conduct thorough investigations into potential market conduct breaches and sales practice anomalies to ensure regulatory alignment.

• Act as a specialist advisor to front-office teams regarding compliance standards and the ethical conduct of business activities.

• Review complex transactions and account activities to identify and mitigate risks associated with potential market abuse.

• Manage the documentation and reporting process for internal audits and regulatory inquiries concerning conduct monitoring.

skills and experience required

• Minimum 5-8 years of relevant experience in trade surveillance, conduct risk, or investment suitability within the private banking or wealth management sector.

• Comprehensive knowledge of the regulatory landscape governing financial advisory services and market behavior.

• Strong analytical capabilities with a focus on identifying patterns of irregular activity in high-volume transaction data.

• Ability to work independently in a fast-paced environment while maintaining a high level of accuracy and attention to detail.

To apply online please use the apply function, alternatively you may contact at <98237297>.
(EA: 94C3609/ )