Description
As a support role in the Business Supervisory Office (BSO) team, you will ensure that,
The US Private Banking Business is compliant with local rules and regulations in transacting business for its clients. You shall also assist in reviewing that all business transacted for the clients are in their best interest (i.e. compliant with the Reg BI rule) and in line with their Suitability and risk profiles. This requires reviewing and providing disposition for daily trade alerts generated via the Surveillance systems implemented, analysis of trade related data and identify any themes that revolve around market manipulation, which in turn would need to be escalated to relevant onshore stakeholders (i.e. review compliance with applicable Market Abuse Regulations). In addition, it also requires assistance to onshore stakeholders with Transaction Monitoring including the review of all domestic/cross-border wire transfers executed b...