Job description

The Client Service Intmd Analyst is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. Integrates in-depth specialty area knowledge with a solid understanding of industry standards and practices. Good understanding of how the team and area integrate with others in accomplishing the objectives of the subfunction/ job family. Applies analytical thinking and knowledge of data analysis tools and methodologies. Requires attention to detail when making judgments and recommendations based on the analysis of factual information. Typically deals with variable issues with potentially broader business impact. Applies professional judgment when interpreting data and results. Breaks down information in a systematic and communicable manner. Developed communication and diplomacy skills are required in order to exchange potentially complex/sensitive information. Moderate but direct impact through close contact with the businesses' core activities. Quality and timeliness of service provided will affect the effectiveness of own team and other closely related teams.

Responsibilities:

• Performs investigation of escalated cases with potential SPR, regulatory or policy breach.
• Performs sanity checks on regulatory reportable surveillance samples requirement, surveillance outcome and misconduct reporting
• Provides monthly update of surveillance outcome, including trend analysis
• Applies knowledge to conduct risk and control assessments, including evaluating business changes, in accordance with established standards; interprets data and makes recommendations.
• Identifies root causes of issues through research and interpretation of information and formulates preliminary recommendations for corrective actions and improvements in collaboration with stakeholders.
• Monitors control breaches and contributes to disseminating lessons learned for process improvement within own team, based on analysis.
• Applies knowledge to conduct reviews of control designs and management practices, interpreting findings to identify policy gaps and formulate recommendations for risk mitigation.
• Ensures the timeliness, accuracy, and completeness of own control assessments before and after process execution, making judgments based on analysis.
• Analyzes risks as per policy requirements, interpreting data and making recommendations.
• Supports in recording and responding to risk events, ensuring accurate and timely capture of information for team review.
• Assesses risks within  scope, interpreting factual information to ensure adequate controls are in place.
• Assists in implementing standards and procedures that align with organizational requirements for risk management, developing working knowledge of industry practices.
• Identifies inconsistencies in data or results related to control points and processes throughout the business, and formulates recommendations for their implementation or improvement within own team's scope.

Qualifications:

• 3-5 years relevant experience
• Ability to multi-task with strong organizational and time management skills
• Strong verbal and written communication skills
• Ability to problem solve and analyzes data with demonstration of attention to detail
• Proficient in Microsoft Office with an emphasis on MS Excel
• Good understanding of Wealth products will be an added advantage

Education:

• Bachelor’s/University degree or equivalent experience

------------------------------------------------------