you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards To identify and brief key individuals and exco on all forthcoming regulation changes and impacts on the compliance reports every quarter Compliance review of all NewBusiness and Servicing cases submitted for the and Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Applications, Drawing up of Supervision Forms) Ensuring all Quarterly declarations have been sent and received
you are to ensure that the organization adheres to all relevant regulations, laws, and industry standards To identify and brief key individuals and exco on all forthcoming regulation changes and impacts on the compliance reports every quarter Compliance review of all NewBusiness and Servicing cases submitted for the and Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Applications, Drawing up of Supervision Forms) Ensuring all Quarterly declarations have been sent and received
management reports for all subsidiaries. Maintaining monthly compliance in all tax aspects for the main IT submissions) Review the monthly payroll for all stores. Review the journals,reconciliations and OPS
management reports for all subsidiaries. Maintaining monthly compliance in all tax aspects for the main IT submissions) Review the monthly payroll for all stores. Review the journals,reconciliations and OPS
to client needs and risk appetite; ensuring that all advisors are Fit and Proper, and relevant documentation their roles. Responsibilities: Compliance review of all NewBusiness and Servicing cases submitted for the and Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Applications, Drawing up of Supervision Forms) Ensuring all Quarterly declarations have been sent and received
to client needs and risk appetite; ensuring that all advisors are Fit and Proper, and relevant documentation their roles. Responsibilities: Compliance review of all NewBusiness and Servicing cases submitted for the and Proper checks for New Wealth Managers Ensuring all New Wealth Managers are provided with a "Starter Applications, Drawing up of Supervision Forms) Ensuring all Quarterly declarations have been sent and received
Controls are optimal and Risks are eliminated across all new implementations - Provide assurance that pre-implementation pre-implementation processes and checks - Assess and document all risks of non-compliance and complimentary manual
Corporate activities affecting your region Review all opinions that are issued by the Tax Specialist Collaboration Effective management of projects, the ability to meet all deadlines and the ability to effectively manage the
Corporate activities affecting your region Review all opinions that are issued by the Tax Specialist Collaboration Effective management of projects, the ability to meet all deadlines and the ability to effectively manage the
bookkeeping function Plan and manage all client deliverables i.e. all inter-functional activities Complete