Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Product Expertise & Due Diligence: Evaluate and recommend suitable investment solutions, specializing in structured products, mutual funds, and bonds, based on rigorous due diligence.
Strong personal leadership traits and a desire to coach and mentor talent are essential to set this Candidate apart as a senior contributor to the business.
Ensure all advisory activity, suitability assessments, and product recommendations comply with HSBC policy, regulations, and global governance standards
Agent services are provided to Issuers to ensure that new issues and programmes are managed into the exchanges for cash, securities and corporate actions (Issuing, Paying, Transfer, Account, Registrar).
Act as the governance point for mortgage cases referred by agency, ensuring end-to-end case quality, completeness of documentation and adherence to required processes and controls.
Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the job holder is involved
Product Expertise & Due Diligence: Evaluate and recommend suitable investment solutions, specializing in structured products, mutual funds, and bonds, based on rigorous due diligence.