RESPONSIBILITIES: • Manage Designated Agents and oversee certain core functions of the Compliance Department with Process: o Manages Member Complaints o Manages Member Compliance o Manages and Performs Member Audits o o Manages Registration of New Members o Oversees Compliance Arbitrations o Overseas Demarcation Disputes
successful applicant will report to the Senior Manager: Compliance Officer. Duties will include assisting with Specification • Determine statutory and management compliance obligations applicable to particular business requirements as stipulated by senior management in respect of the compliance department. • Escalate material
successful applicant will report to the Senior Manager: Compliance Officer. Duties will include assisting with Specification • Determine statutory and management compliance obligations applicable to particular business requirements as stipulated by senior management in respect of the compliance department. • Escalate material
performance by liaising with supervisors and management. Compliance and Safety: Ensure all training activities
performance by liaising with supervisors and management. Compliance and Safety: Ensure all training activities
submitted Preparation of monthly management accounts, cashflow statements Compliance and tax reporting as required
paration of monthly management accounts, cashflow statements
Our client is a leading financial services company, is seeking a Lead Distribution Analyst with strong reporting, analytics and executive assistance experience. reporting to the COO: Distribution. The successful candidate will engage with Senior executives of the company in forums, such as projec
Responsibilities (Processing & Management)
presentations. Manage communications with board members and senior executives. Ensure compliance with corporate