Regulatory Compliance Manager, Broking Services - Regulatory Compliance

  • Competitive
  • Hong Kong
  • CDI, Plein-temps
  • HSBC
  • 15 oct. 18

Regulatory Compliance Manager, Broking Services - Regulatory Compliance

Some careers have more impact than others.
If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be.

As part of Global Risk, 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 with regard to complying with the regulations and helps resolve compliance deficiencies.

We are currently seeking a high caliber professional to join our team as Regulatory Compliance Manager, Broking Services.

Principal responsibilities

  • To discharge the accountabilities set out in the relevant internal policies and procedures as applicable to the role as a Manager by proactively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators.
  • Support the team to identify Regulatory Compliance risk and potential impacts on HSBC Broking Services Business Model.
  • Support the team to continuously review for appropriateness of framework to monitor regulatory compliance developments impacting on HSBC Broking Services.
  • Assist Senior Regulatory Compliance Manager to implement programmes to quantify impacts and implement actions to address, manage and mitigate impacts of regulatory changes.
  • Support the business in the enhancement on product suitability, sales and staff policies and systems that ensure the HSBC Broking Services exposure to regulatory compliance and reputational risks is managed, in a practical and effective manner, including efficient and reasonable deployment of resources and an understanding of the business operations and needs.
  • Support the implementation of global standards and policies which ensure HSBC Broking Services exposure to current risks and emerging arising risk is managed appropriately, in a commercially focused and practical manner.
  • Review and manage replies to enquiries from regulators including the SFC.
  • Draft internal policy and procedures related to Regulatory Compliance issues.
  • Deliver training to front and back office staff on any compliance updates.
  • Review and manage the resolution of Executive and Underwriting Committees, broad resolution and other company secretarial matters.
  • Handling of adhoc Regulatory Compliance investigations and projects.
  • Provide services to all departments on Regulatory Compliance issues.
  • Manage and review monitoring on staff dealing.


Qualifications
Requirements
  • University degree.
  • Experience in securities or financial services industry.
  • Independent, good analytical skills in adopting a constructive and proactive approach to changing environment and regulations.
  • Highly motivated with ability to work independently and to deliver high quality work on time.
  • Ability to support decisions with sound reasoning and deal with business in a professional manner.
  • A Cantonese speaking individual with good Chinese and English language ability is certainly a prerequisite given the operating environment.


You'll achieve more when you join HSBC.

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

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