职位描述
此招聘广告仅提供英文版，敬请知悉
The Conduct and Regulatory Risk Manager role is responsible for assessing whether the customer outcomes for product sales are in line with HSBC internal standards and regulatory requirements.
The role sits as part of the team responsible for ensuring the bank aligns around our clients to deliver a high quality and robust service.
We are currently seeking an experienced professional to join our team.
In this role, you will:
· Conduct gap analysis to review and update internal sales and conduct management procedures and process regularly to ensure that these procedures are effective, adequate and comply with internal policies, regulatory guidelines and accepted auditing standards.
· Set and facilitate the sales control mechanism to prevent potential misconduct cases.
· Handle PCC cases including investigation, consequence management, and conduct events reporting (including internal reports and regulatory reports).
· Work with RC to coordinate regulator distribution channel inspection and prepare report to meet regulatory requirements
· Other conduct related activity, including front line training, people issue management, relevant MSII follow up and local arbitration case handling
要求
To be successful in the role, you should meet the following requirements:
· Experienced in insurance industry sales management role with strong sense of potential risks.
· Technical knowledge of insurance sales process, compliance requirement and regulation requirement
· Good regulator relationship is a plus.
· Excellent written and verbal communication skills with both internal and external stakeholders
· Attention to detail, with ability to deliver good quality output within a tight timeframe
· Available to work under pressure, prioritize tasks and deal with complex issues
You’ll achieve more when you join HSBC.
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 and inclusive and diverse environment. Personal data held by the Company relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website. /AZ
Issued by HSBC Insurance Brokerage Company Limited