Executive, Wealth Certification & Compliance

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Job Purpose Summary

The primary purpose of this role is to serve as the Governance Lead for professional wealth credentials and the Administrative Pillar for the Wealth Academy.

Wealth Licensing: This position acts as the dedicated "Maker" for specialized professional certifications, specifically BANCA, ERP and CFP, while providing robust Compliance Verification across all core wealth products (FIMM, Banca, ERP, CFP) within RWM and Business Channels. This role ensures that all licensing details and training records are recorded properly in Workday.

Wealth Academy: By managing the end-to-end administrative life cycle of training—facilitating requirements before, during, and after sessions. The role provides the audit-ready data foundation required to scale the Academy's capability-building initiatives.

Key Responsibilities and Accountabilities

Functional (job responsibilities)

• Professional Certification Management (Maker): Full end-to-end ownership of registration and candidate coordination specifically for BANCA, ERP and CFP licenses.

• Compliance Verification (Monitoring): Perform regular reviews across RWM and Business Channels to ensure every staff in a mandatory role is fully licensed for FIMM, Banca, ERP, and CFP.

• Wealth Licensing & Data Integrity: Ensure that all licensing details and training records for RWM and Business Channels are recorded properly in Workday to support audit readiness.

• Training Administrative Life Cycle: By managing the end-to-end administrative life cycle of training—facilitating requirements before, during, and after sessions to ensure prerequisites and outcomes are documented for scaling.

• Internal Redundancy (Maker-Checker): Serve as the secondary verifier for FIMM registrations to ensure a "double-check" system and eliminate any single point of failure within the team.

Organizational (organizational responsibilities)

• Strategic Liaison: Act as the central point of contact between TMWA and external bodies as well as internal Compliance and HR teams.

• Onboarding Governance: Monitor the licensing status of all new employees during their first six months to ensure they meet mandatory regulatory requirements.

• Risk Management & Escalation: Proactively identify expiring licenses or registration delays and escalate them to management to prevent regulatory breaches.

• Process Optimization: Work closely with other departments to streamline registration workflows to support the Academy’s expansion.

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