HSBC Group

GCB 4

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Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC’s regulatory requirements and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities regarding complying with the regulations and helps resolve compliance deficiencies.

We are currently seeking a high calibre professional to join our team as a Senior Regulatory Compliance Manager, MSS Corporate and Institutional Sales

Principal Responsibilities

In this role you will.

·     Form part of the Global and Regional MSS Compliance team that provides independent oversight and challenge of risk management practices across the MSS businesses, Global Functions and / or  jurisdictions within the second line of defence to obtain reasonable assurance that they are operating in line with relevant laws, regulations, codes and HSBC Group Standards.

·       Act as the SME for MSS Compliance to drive the global and regional approach in challenge,  guidance, support and interpretation to the MSS businesses, Global Functions and / or jurisdictions; co-ordinate with equivalent counterparts in other compliance teams to ensure a consistent, best practice and ‘joined-up’ approach.

·       Partner with regulatory change and other regulatory SMEs to understand new and revised regulatory requirements, codes of practice etc. ensuring changes and impacts are disseminated to the appropriate businesses, functions and / or jurisdictions.

To be successful you will:

·       Demonstrate Corporate & Institutional Sales  advisory compliance experience in assocaited products and product lines.

o   Knowledge of applicable rules in relation to Corporate & Institutional Sales .

o   Investigative and  regulatory supervisory skills to undertake reviews of specific business activities and conduct.

·       Ambition to enhance compliance knowledge and skills in a rapidly changing and dynamic Markets environment.

·       Work across all levels of the organisation to understand cross-functional linkages and interdependencies, as well as the implications of Compliance risk at both a strategic level and at the business unit level.

·       Demonstrate excellent interpersonal, communication and influencing skills and confidence to deal with senior and executive level staff to defend guidance, sell the benefits of Compliance risk management and challenge their operating environment.

·       Ability to lead and motivate compliance officers with a reporting line into the role.
 

When applying, please submit a full resume and attach your appraisal reports for the last two performance years. Your local internal application policy should be followed. For internal applicants in Hong Kong with less than twelve months in their current role, please also obtain and enclose the endorsement from your current line manager in the application as well; for more information, you can visit HRDirect and search for content "HKG: Do I need any approval to look for internal career opportunities?".

Opening up a world of opportunity

Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.

HSBC is 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. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hongkong and Shanghai Banking Corporation Limited.