HSBC Group

Role purpose

The role requires partnership with the stakeholders in 1st and 2 Line of Defense, as well as supporting the Risk Steward in activities related to Inappropriate Market Conduct Risk and Regulatory Compliance (RC) Policy. Role purpose will also be focused on SME capability for Compliance risk stewardship responsibilities are successfully performed, included but not limited to Regulatory Compliance Entity Licensing, Market & Unauthorized Trading Risks, risks reassessments, follow up on exceptions, continuous monitoring, review and certification of Regulatory Reporting, Policy Implementation, Regulatory Changes among others.

Assist the senior management of Entity Licensing, Market & Unauthorized Trading, the leadership of the Compliance function, and other colleagues on all material compliance related matters.

Represents the Compliance agenda up to the highest levels of the Group’s governance, including being an attendee (as required) at the forums (and related subcommittees).

Main activities

• Cultivate a culture of compliance by working proactively Global Functions and Line of Bussiness, as well as with other compliance professionals, to ensure that best practices are followed in accordance with applicable laws, regulations and policies.
• Perform RCA’s analysis and reassessments.
• Work in Continuous monitoring assessments
• Oversight of clousure of Issues
• Implementation of regulatory changes and policies as required.
• Certify of regulatory reports.
• Tracking of risk stewardship metrics
• Support in governance forums packages including risk stewardship information.
• Follow protocols for escalation and monitor business activities and review of procedures.
• May support the team leader in his/her role as regulatory coordinator for specific regulatory projects.
• Supports the team leader to improve and maintain the day-to-day processes of the area.
• Contributes to   identify, inform and advise senior management on any developing problems and trends that may impact or be relevant to compliance risk issues.
• Works with leaders to ensure a correct implementation of the strategy.
• Carry out impact analysis and advise on regulatory changes; execution of various workflows for regulatory changes and implement changes to the operating model ensuring its alignment with global standards.
• Ensure effective contributions on regulatory compliance in the governance and reporting processes that carry out Global Functions and Line of Bussiness.
• Runs administrative processes and procedures to ensure adherence to operational risk management policies, with consideration for HSBC and the global / regional / local area or activities.

• Strong communication and interpersonal skills, with experience interacting with high-level executives.
• A seasoned Compliance professional is highly desirable.
• Experience dealing with regulatory matters.   
• Ability to analyse and interpret large volumes of information and/or data to provide executive summaries.
• Ability to prioritize and drive change in challenging environments.
• Knowledge and understanding of HSBC's internal control and its operational risk environment.
• Confidence to lead and influence stakeholders.
• Act as the highest authority and source of technical/scientific knowledge.
• Good knowledge of the HSBC Group Structure, its business and personnel, and a deep understanding of HSBC’s corporate culture.
• Problem solving skills and ability to provide creative solutions.
• Strong English written & verbal communication skills.
• Desired: experience with Helios and QlickSense.

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.