Supporting supervision functions of client facing documents, communications, and investment products to ensure compliance with regulatory requirements. Analysts will be expected to identify potential irregularities/ red flags, while maintaining agreed service levels and commitments.
Key Responsibilities
- Provide support to Registered Principals and Supervision leaders in conducting supervision by providing 1st level analysis of documents and processes, data aggregation, reporting and similar activities.
- Responsible to complete the required tasks within the pre-defined SLAs, maintaining required quality parameters.
- Help identify efficiencies through innovation using Lean.
- Manage multiple and changing priorities, expectations and concerns while working closely with business partners in a focused and responsive manner.
- Maintain reporting and other process documentation for Business Continuity purposes.
Required Qualifications
- Bachelor s degree or equivalent
- 1-3 years of relevant experience
