An international wealth management company is seeking an Introducer Liaison & Control Associate, to undertake the following duties:
- Build professional relationships, including Introducer liaison and relationship management in conjunction with their Sales Team and Introducer services team
- Conducting quality control checks as part of Introducer on-boarding and servicing only relationships
- Provide verification that the Introducers have the appropriate knowledge and ability to conduct the determined business
- Establish that the Introducers, both generally and in respect of their dealings with the licensed insurer, comply with applicable laws and regulatory requirements which are relevant to the services being provided to the customer
- Executing a risk-based assessment on review of the Introducer information presented, and monitoring said risk-based assessment on a regular basis via relevant searches, visits or questionnaires
- Monitoring the performance of the Introducer, including the quality of the business, the persistency of the business, anticipated and actual levels and patterns of business, financial exposure to the Introducer and any complaints made against the Introducer
Applicants must have a 5+ years’ experience in a Compliance or Introducer management focussed role within the financial services sector, have AML and CDD experience, including Conduct of Business expertise / Regulatory awareness / Corporate Structures in relation to on-boarding and monitoring Introducer activity and be a team player.