Job Description

International Wealth and Premier Banking is our new global business combining Retail Banking and Wealth Management; and Private Banking, to become one of the world’s largest global wealth managers with USD1.4 trillion in assets. Our dedicated colleagues serve millions of customers worldwide across the entire spectrum of private wealth, ranging from personal banking for individuals and families, through to business owners, investors and ultra-high-net-worth individuals. We provide products and services such as bank accounts, credit cards, personal loans and mortgages, as well as asset management, insurance, wealth management and private banking, that best suit our customers’ needs.

People Responsibility: N

Report to: EM SVP AND HEAD OF PRIVATE WEALTH / FM HEAD OF BUSINESS MANAGEMENT

Provide business management support for the HC securities sub-brokerage (複委託) business, with a focus on strengthening middle- and back-office controls and ensuring stable day-to-day operations. Partner with key stakeholders to support governance, risk and compliance requirements.

• Support the middle- and back-office control framework for the HC securities sub-brokerage business.
• Coordinate daily operational matters, including issue tracking, follow-ups, and timely escalation where required.
• Assist in reviewing processes and controls to enhance operational stability and compliance.
• Liaise with internal stakeholders (e.g., Front Office, Operations, Risk, Compliance) to drive alignment and execution.
• Support management reporting, MI preparation, and documentation for governance routines.
• Assist with regulatory / internal audit requests, evidence collection, and remediation tracking.
• Contribute to project and change initiatives impacting the sub-brokerage operating model.
• Maintain clear records, procedures, and control documentation.

• Solid understanding of securities firm sub-brokerage (複委託) operations and related end-to-end processes.
• Experience in compliance, risk control, operations control, or governance within a securities firm is preferred.
• Strong communication and stakeholder management skills; able to coordinate across teams effectively.
• Detail-oriented, well-organized, and able to manage multiple tasks with appropriate prioritization.
• Fluent in Mandarin and English (spoken and written).
• License requirement: 金融市場常識與職業道德/證券商高級業務員