Associate/Senior Associate, Regulatory Risk Management, Wealth Management COO Office, Private Banking
Core
Execute and enhance regulatory risk management processes for External Asset Management/Business Introducer (EAM/BI) governance, tax regimes, and regulatory restrictions (FATCA, CRS, QI, GST, US persons) within Wealth Management.
Role type
Senior IC regulatory risk management specialist
Builds
Operationalized regulatory controls and reporting outputs for EAM/BI framework
Domain
Financial services / Wealth Management / Private Banking
Required skills
Regulatory risk management, compliance governance, EAM/BI onboarding and terminations, FATCA/CRS/QI/GST reporting, process discipline, stakeholder engagement, audit support, change management, SOP development
Preferred skills
Wealth Management processes knowledge, analytical problem-solving, PowerPoint/Excel proficiency
Technologies
FATCA, CRS, QI, GST, EAM/BI, PowerPoint, Excel
Responsibilities
Execute EAM/BI onboarding, name screening, periodic reviews, and terminations; Ensure accurate EAM/BI retrocession processing; Act as secretariat to the EAM/BI Committee; Execute day-to-day FATCA/CRS/QI/GST/US Persons processes; Support annual FATCA/CRS exercises; Maintain process and control discipline; Support regulatory change implementation and remediation; Translate requirements into operational procedures and training materials; Coordinate regional alignment efforts; Support internal and external audit inspections; Support BCP execution activities.
Seniority
Senior, hands-on IC