This position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. The position ensures the management and employees are: (i) in compliance with the rules and regulations of regulatory agencies, (ii) that company policies and procedures are being followed, and (iii) that behavior in the organization meets the company’s standards of conduct. This position will include the development, supervision and monitoring of compliance programs, compliance testing audit, customer complaints and resolution programs.
PRIMARY RESPONSIBILITIES (include, but are not limited to)
KNOWLEDGE AND SKILL REQUIREMENTS
The Core Securities Company Limited understands the importance of providing professional wealth management solutions to our clients, The Core Securities combines personalized approach, in-depth expertise, and financial planning tools and resources to build and protect your wealth. Our global market team has a wealth of knowledge, resources, and solutions for all investors. Through our accredited professional advisors, our clients benefit from the expertise of our capital market research, global portfolio advisory, and wealth management services.
Whether you are building on your existing wealth, protecting your family’s financial security, or thinking about your legacy to the next generation, The Core Securities offers a complete array of wealth management services, products and solutions to meet your needs. Trust in our proven expertise to build a wealth management strategy uniquely designed to help you achieve your financial objectives for today and tomorrow.