Performs surveillance reviews including voice log review and suitability assessment of front office activities, investigating mis-selling or suspicious conduct. Conducts trend analysis, delivers front office training, and oversees end-to-end COO processes such as suitability and pricing. Prepares management reports for risk governance forums and supports regulatory inspections and remediation.
Core skills
Sales and transaction surveillanceVoice log reviewSuitability assessmentComplianceRisk analysisManagement information reporting
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