Quality and Control Officer

About the role

The Quality and Control Officer will support the Wealth Management Group (WMG) by ensuring compliance, risk management and internal controls are effective and efficient. This role also handles budget monitoring, reporting obligations and various administrative tasks to maintain high standards across all WMG divisions.

Key responsibilities

• Act as alternate Deputy Compliance Officer and primary compliance contact for Wealth Management divisions.
• Monitor and resolve document deficiencies related to client onboarding and financial transactions.
• Perform account reviews for flagged transactions and ensure timely reporting to the group.
• Verify and approve product code definitions, rate/price uploads, and client onboarding processes in the Wealth Management System.
• Support budget planning, monitoring and fulfil reportorial requirements.
• Assist with implementation of WMG initiatives and directives.
• Maintain acceptable ratings in internal and external audits.

Required profile

• College graduate, preferably in business or management.
• Minimum five years of experience in financial services with a focus on compliance, audit or operational risk management.
• Extensive knowledge of wealth management operations, products and services.

Required skills