HSBC Group

Compliance is a global function that brings together all aspects of regulatory and financial crime risk management.  Acting as risk stewards and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.

The role holder is the Regulatory Compliance executive responsible for ensuring that HSBC’s operations in Taiwan are effective in identifying, managing and mitigating Regulatory Compliance and ensure timely advice is provided to the covered wholesale business.

People Responsibility: N

Report to: SVP and Head of Regulatory Compliance Advisory (CMB & GBM)

Job Content: 

1. Primarily to support Business Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices, with primary focus on Business area.
2. Assist SVP and Head of Regulatory Compliance Advisory to oversee the critical Regulatory Compliance policies and systems that impact Taiwan business and ensure that the Group’s exposure to Regulatory Compliance  risks is managed in a commercially sensitive, practical and cost effective manner.
3. Assist SVP and Head of Regulatory Compliance Advisory to ensure the proactive approach is taken to identify Regulatory Compliance risks change and potential impacts on business model in Taiwan.
4. Provide advisory services to business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.
5. Assist SVP and Head of Regulatory Compliance Advisory to be responsible for the second line governance of Regulatory Compliance risks exposures, providing analysis, reporting and governance to Taiwan that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure.
6. To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
7. Assist the senior management of Taiwan, the leadership of the Compliance function, and other colleagues on all material compliance related matters.
8. Assist SVP and Head of Regulatory Compliance Advisory to represent the Compliance agenda up to the highest levels of country governance, including being an attendee (as required) at the covered business forums in Taiwan to report on progress and issues in relation to the operational effectiveness of HSBC’s policies, processes, systems and controls in countering Regulatory Compliance risks.