HSBC Group

Business: Compliance

Open positions: 1

Role Title: Manager, Compliance Advisory Services – Asset Management GSC’s

Global Career Band: 6

Location: Bangalore

Recruiter Name:  Geetika Gupta

Why join us?

HSBC Global Asset Management (AMG) has a vision to be the leading asset manager for HSBC’s clients via HSBC's four Global Businesses (Retail Banking and Wealth Management, Global Private Banking, Global Banking and Markets and Commercial Banking). The strategy is:

• To deliver stable long-term performance to clients via globally consistent investment processes
• To leverage the Group’s relationship managed client base
• To differentiate through global footprint and breadth of capabilities
• To differentiate through high conduct standards and a diverse and inclusive culture

The role will involve regular interaction with stakeholders in first and second line of defence.

Opportunity:

The AM Regulatory Compliance (AM RC) team enables the business to deliver sustainable growth by supporting the embedding of a robust risk management culture. AM RC does this by providing advice, training, and risk stewardship to ensure the business complies with the letter and spirit of relevant regulations to deliver fair outcomes for customers and to uphold integrity in financial markets.

What you’ll do:

The purpose of the AM RC Bangalore team is:

• To provide a centralised area of RC expertise and deliver a number of core advisory roles and responsibilities, which include (additional responsibilities/activities may follow)
• Review and approval of AM employee cross-border travel requests
• Prepare report on any Risk & Controls anomalies extracted and analysed from Helios
• Review and approval of AM marketing materials
• Review of Outsourced Compliance Assessments (OCAs)
• Administration of Staff lists, New Starters process and Management Information
• The role is a member of the AM Global Regulatory Compliance Bangalore team
• Initial responsibilities include understanding Group policy, AM and RC procedures and the identification of local requirements associated to core AM RC advisory activities offshored. - Secondary responsibilities include supporting local line management in embedding the AM RC GSC Bangalore team to become fully operational, with the full confidence and approval of AM RC stakeholders

What you will need to succeed in the role:

• Demonstrable ability to clearly and concisely articulate risks, issues and areas of escalation; supporting recommendations with logic and reason through a range of media, including in written risk reports, email / memo style, and in verbal interactions
• Identification and management on all applicable regulatory, compliance and operational risk matters
• Good understanding of Treating Customers Fairly (TCF) principles, Asset Management Conduct programme
• Good understanding of Group policies, Asset Management, Risk Compliance procedures and the identification of local requirements associated to core AM RC advisory activities offshored
• Foster positive and professional working relationships with AM business and AM RC, to drive forward Asset Management strategy
• Excellent spoken and written communication skills including presentation skills (PowerPoint/excel/teams)

What additional skills will be good to have?

• Education to degree level, is required.
• Master’s Degree is preferable. 

Core skills

• Compliance interpretation and advice.
• Identification and management on all applicable regulatory, compliance and operational risk matters.
• Foster positive and professional working relationships with AM business and AM RC, to drive forward AM strategy.

Profile

• A comprehensive understanding of operational risk management,
• Knowledge and understanding of Non-financial risks and controls, and non-financial risk frameworks and governance.
• Specific understanding of Compliance risks and controls within HSBC context desirable
• Good understanding of Group policies, AM and RC procedures and the identification of local requirements associated to core AM RC advisory activities offshored.

Generic skills

• Demonstrable ability to clearly and concisely articulate risks, issues, and areas of escalation, and supporting recommendations with logic and reason through a range of media, including in written risk reports, email / memo style, and in verbal interactions.
• Excellent spoken and written communication skills including presentation skills (PowerPoint/excel/teams),
• Good attention to detail

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You’ll achieve more at HSBC

HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and, opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”

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