About this role
<p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">The Regulatory and RTT Controls Lead, will support PWG in ensuring adherence to all applicable regulatory and other requirements relevant to client onboarding and account life cycle of our high-net-worth clients. You will handle client, product suitability, tax and other regulatory checks and advisory as well as manage any related escalation to 2<span>nd</span> LoD, whether at onboarding or during the client account lifecycle. You will also ensure that all related data points are appropriately maintained, and support regulatory change initiatives and/or client outreach to ensure a smooth and efficient client experience.</span></p><p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;color:black"> Key Responsibilities:</span></strong></p> <ul style="margin-top:0.0in;margin-bottom:0.0in" type="disc"> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Assist PWG front office, as part of the Client Onboarding and Lifecycle Management team with client, product suitability, tax and other relevant regulatory review, assessment, approvals and other related tasks.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Prepare, maintain, and organize materials (training, checklist, guidelines), contributing also to NPC proposals, and ad-hoc information requests.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Respond promptly to client queries and coordinate internal / external follow-ups.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Support front office pipeline prioritization, ensuring timely and accurate execution of necessary reviews and account refresh activity</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Help identify process efficiency opportunities and assist in change initiatives.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Develop, implement, and monitor key controls for regulatory related processes owned by the Client Onboarding and Lifecycle Management team</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Ensure compliance with regulatory requirements, Suitability, Tax checks.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Maintain updated client records and manage information in CRM systems.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Collaborate with internal teams such as investment, product, and operations to deliver seamless client service.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Assist in planning and coordinating intra and cross departmental training regarding client, product suitability, tax and other relevant regulatory requirements</span></li> </ul> <p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;color:black"> </span></strong></p> <p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;color:black">Qualifications:</span></strong></p> <ul style="margin-top:0.0in;margin-bottom:0.0in" type="disc"> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Bachelor’s degree in Finance, Business, Economics, Law or related field.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">At least 10 years of experience in banking, wealth management, or financial services.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Good understanding of financial products and market dynamics.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Strong organizational skills with attention to detail.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Excellent communication and interpersonal abilities.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Familiarity with regulatory standards and compliance processes.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Proficiency in Microsoft Office and CRM tools.</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Relevant certifications (e.g. CACS 1, 2) are advantageous.</span></li> </ul> <p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;color:black"> </span></strong></p> <p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><strong><span style="font-size:10.0pt;color:black">Skills & Attributes:</span></strong></p> <ul style="margin-top:0.0in;margin-bottom:0.0in" type="disc"> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Client-focused with a proactive mindset</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Ability to manage multiple tasks efficiently</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Strong teamwork and collaboration skills</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">Analytical and problem-solving capabilities</span></li> <li style="margin-top:0.0in;margin-right:0.0in;margin-bottom:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"><span style="font-size:10.0pt;color:black">High integrity and professionalism</span></li> </ul> <p style="margin:0.0in;font-size:12.0pt;font-family:Aptos, sans-serif"> </p>