. Compliance and Risk Management: - Ensure adherence to regulatory standards and internal policies related to investigations.... - Collaborate with legal, compliance, and risk management teams to address and resolve any identified issues - Strategically assess...
auditors and external regulators. Foster a compliance culture and implement Group Compliance Policy by managing compliance risk... processing and pre-settlement of Swap deals and ensuring regulatory and FIM compliance Principal Responsibilities Accurate...
management reporting in collaboration with partners from finance, HR, marketing, risk, compliance, etc. Proactively... management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal...
checks and risk assessments on new and existing clients. · Screen clients against 'Know Your Customer (KYC)' lists.... · Prepare detailed reports documenting findings and risk ratings. · Escalate high risk or suspicious cases to senior management...
and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Key Stakeholders Client, Coverage... to internal approvers (like Credit, Compliance, etc.) and other banks, in case of syndicated transactions Liaise with clients...
Manage “Risk” by way of identification & assessment and to mitigate such risk by implementing agreed strategy... Effectiveness & Control Maintain and observe HSBC internal control standards, implement, and observe Group Compliance Policy...
and follow-up on trade documentation, ensuring compliance with regulatory and internal requirements. Confirmation Tracking... Onboarding: Assist in the onboarding process for new clients, ensuring all necessary documentation and compliance checks...
, variances, and to confirm compliance with applicable firm ownership thresholds. Resolve and/or escalate any missing data... Management Committee, Finance, and other teams as required Assist in preparing fund ownership and compliance metrics for the...
, financial, and strategic expertise to advise clients seeking to realize value and mitigate risk. Our professionals serve... decisions. We advise in multijurisdictional regulatory inquiries and investigations, compliance issues, business transactions...
knowledge Ensure compliance with all relevant internal instructions and external regulatory requirement Attend relevant... and apply sound risk management practices US Only - Disclaimer To successfully perform this job, the individual must be able...
, financial, and strategic expertise to advise clients seeking to realize value and mitigate risk. Our professionals serve... decisions. We advise in multijurisdictional regulatory inquiries and investigations, compliance issues, business transactions...
, regulatory compliance, and operations/system-related issues and strengthen risk management. Create, Maintain and Disseminate... compliance to IBG and Trade sales Build and maintain suitable MIS Required Experience Eye for Detail and would need...
, and mitigating compliance risks. Providing guidance and support to business units on effective risk management strategies... business – they were made just right for you. Responsibilities * Compliance Oversight: Monitoring and ensuring adherence...
, and mitigating compliance risks. Providing guidance and support to business units on effective risk management strategies... business – they were made just right for you. Responsibilities * Compliance Oversight: Monitoring and ensuring adherence...
, and mitigating compliance risks. Providing guidance and support to business units on effective risk management strategies... business – they were made just right for you. Responsibilities * Compliance Oversight: Monitoring and ensuring adherence...
: - We are responsible for the development of Parametric's proprietary investment systems technologies, including our trading, compliance... and reduced operational risk. ABOUT THE ROLE The Investment Systems: Fixed Income Investment Platform team is responsible...
DBS Group. We conduct independent checks to ensure that the Group’s risk and control processes are adequate and effective... & Securities and Fiduciary Services) – risk, product and processes. Evaluate the design and operating effectiveness of processes...
DBS Group. We conduct independent checks to ensure that the Group’s risk and control processes are adequate and effective... & Securities and Fiduciary Services) – risk, product and processes. Evaluate the design and operating effectiveness of processes...
DBS Group. We conduct independent checks to ensure that the Group’s risk and control processes are adequate and effective... & Securities and Fiduciary Services) – risk, product and processes. Evaluate the design and operating effectiveness of processes...
Services business unit. These include accounting and investor services professionals, tax, risk, and transition management. The... as part of a global, distributed team. A third level qualification – preferably in a legal/compliance discipline...