Description

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 Qualifica...