About the role
FinEx AI summary
Supervise a team investigating potential misconduct and fraud, handling escalated and complex cases. Review investigation reports, ensure timely and accurate reporting, and maintain records of the Distribution Disciplinary Committee. Handle regulatory and law enforcement correspondence, conduct gap analysis, localize group policies, and assist with the Dawn Raid plan.
Core skills
Compliance InvestigationMisconduct InvestigationFraud InvestigationRegulatory ComplianceReport ReviewGap Analysis