Anna

To ensure that the business conducted in Private Wealth Management (PWM) meets internal and external compliance requirements, I perform daily surveillance by reviewing different reports. I also support PWM sales teams on compliance issues. Also, I am responsible for the communication and implementation of compliance policies and procedures in PWM.

While providing compliance support and opinions to PWM professionals, our team also does our best to facilitate the business. Occasionally, our internal clients will ask us to provide them with advice on various regulatory and internal requirement issues as soon as possible. These tasks make my job both interesting and challenging since we have to be very familiar with the latest regulatory requirements and firm-wide policy updates in order to provide efficient and professional compliance support.