Champions a client‑focused culture by understanding GWM product offerings, advisor practices, suitability requirements, and the broader Wealth ecosystem, allowing for deeper client relationships and stronger alignment with enterprise capabilities.
Supports 1st Line Non-Financial Risk Management Programs across GWM, including Privacy, Anti‑Bribery & Anti‑Corruption, Conduct Risk, Conflicts of Interest, and Regulatory Compliance, while considering nuances specific to Wealth businesses such as advisor behaviour, client suitability, fiduciary expectations, and product distribution risks.
Supports 2nd Line compliance programs, such as the Regulatory & Controls Library, Compliance Risk Control Assessments, Issues Management, and regulatory change management—ensuring Wealth business units can understand, prioritize, and operationalize regulatory requirements impacting advisory practices, product governance, operations, and client servicin...
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