Dr Elvis Ngonga
Operations and Compliance Professional with over 8 years of experience with monitoring, testing structures for banking, fraud and investigation. This job gave me the ability to analyze data and oversee employees’ performance in order to assess the cost and benefits of clients’ needs.
Responsibilities include performing surveillance of client accounts to ensure adherence with options position & exercise limits, conducting daily weekly, and monthly supervisory reviews of trade and position reporting output to monitor compliance with stated industry regulations, monitoring, testing and implementation of data validation modules.
Other duties include reviewing regulatory & industry disclosures and reporting guidelines, ensuring compliance with governance policies and procedures and working with internal/external Auditors on regulatory reporting examinations.
Tel. +1 (801) 637-7933