for providing compliance coverage to the CICC group of companies (the “Firm”) for its Equities, FICC and Wealth Management business... responsibilities include but are not limited to: Providing compliance advisory to the Equities, FICC and Wealth Management...
Distribution focuses on personal wealth management and financial services. Our one-stop wealth management initiatives are designed...: Implement the highest standard of business risk management, conduct, control and compliance as required by the Group on wealth...
Distribution focuses on personal wealth management and financial services. Our one-stop wealth management initiatives are designed..., Branch operations improvement and controls Manage daily branch operation and operational risk with effective measures...
manager understanding of equity market events and structure and its influence on controls effectiveness analytical... global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking...
and Global Wealth Management) as well as other key stakeholders across various divisions. Together, you will support, drive... and processes and controls that impact our client's experience. You will have broad exposure across UGM Global Markets...
standards. Perform detailed Client Due Diligence (CDD) reviews, aligning account data with all applicable internal controls... and regulatory requirements. Evaluate the quality and legitimacy of clients' Source of Wealth documentation to meet onboarding...
and structure and its influence on controls effectiveness experience of onshore Chinese market microstructure (eg. Abnormal trading... and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate...
is a leading global financial services firm providing investment banking, securities, wealth management, and investment management..., systems, process and controls Excellent of written and verbal communication skills in English and Chinese...
Distribution focuses on personal wealth management and financial services. Our one-stop wealth management initiatives are designed..., Branch operations improvement and controls Manage daily branch operation and operational risk with effective measures...
Distribution focuses on personal wealth management and financial services. Our one-stop wealth management initiatives are designed...: Implement the highest standard of business risk management, conduct, control and compliance as required by the Group on wealth...
, take the next step at HSBC where your contributions will always be valued. Wealth and Personal Banking (WPB) helps deliver... wealth management through best-in-class, mobile-first capabilities and exceptional people. Our international network...
their biggest opportunities and face the world's toughest challenges. Shape your Career with Citi Citi's Wealth brings together... the full power of Citi to serve the entire continuum of wealth clients, from affluent to ultra-high net worth to family...
Distribution focuses on personal wealth management and financial services. Our one-stop wealth management initiatives are designed..., mitigation and controls, loss identification and reporting by observing the relevant policies and guidelines issued by the Bank...
and Wealth (RB&W) Credit Control Services We are currently seeking a high caliber professional to join our team as Senior... mitigation activity through effective implementation and execution of underwriting capabilities and controls Takes ownership...
- Distribution Support Hang Seng's Retail Distribution focuses on personal wealth management and financial services. Our one-stop... wealth management initiatives are designed for both our affluent and mass integrated account customers. With more than 255...
thematic reviews, compliance controls evaluation, and assurance activities to assess the effectiveness of controls... and distribution knowledge including private wealth, corporate banking, FICC and corporate finance Requirements: A degree...
banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide... and trading algorithms, including control frameworks and pre/intra-trade controls Control Framework Development: Design...
, training and workload management across the team. The team will focus on managing risks and controls, resolving escalations... performance excellence. Establish and maintain a strong control environment by implementing and monitoring effective controls...
obligations. This position blends strategic direction with operational execution, ensuring strong internal controls, effective... timely resolution of issues. Drive continuous improvement of AML/CFT policies, procedures, and controls. Maintain high...
Limited, Hong Kong Branch provides wide-ranging wealth management services to high-net-worth individuals. This position... activity) Maintain systems and controls to ensure the Bank comply with rules and regulations in accordance with SFC Code...