About the role
FinEx AI summary
First-line compliance role in private banking advising the business on compliance and control matters, conducting transaction monitoring and business reviews, and identifying compliance or operational risks. Reviews marketing and product materials, performs self-assessments and gap analyses, and prepares management reporting. Assists with training, customer complaint investigations, and regulatory reporting or audit matters.
Core skills
ComplianceOperational RiskTransaction MonitoringPrivate BankingRegulatory ReportingGap Analysis