- Investigations and reviews for customer complaints and broker conduct concerns.
- Collaborating and working with the broader ICU and Compliance Risk and Legal (CRL) team to assist with ad hoc tasks and work related to investigations and managing risk.
- Providing support on communicating, reporting and engagement on complaint/broker conduct investigations.
- Collating information required for incoming subpoenas, court orders, police requests, government agency requests and third-party requests; and other tasks as required.
