Monitoring
▪ Carry out desk based and thematic reviews of the Wealth Management Division, as part of the organisations second line of defense and in line with the firm’s risk-based compliance monitoring programme
▪ Presentation of monitoring activity findings and remediation requirements to Senior Management and key business stakeholders as required
▪ Composition and delivery of reports of completed reviews and monitoring activities
▪ Tracking and validation of remedial action points
Other associated responsibilities to include;
▪ Review, investigation and clearance of market abuse alerts generated through the firm’s automated surveillance tools
▪ Significant holdings monitoring
▪ Takeover Panel monitoring
▪ Approval and oversight of staff dealing
▪ Assist in the production of Management Information
