Regulatory Compliance Manager, Control Room - Regulatory Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 26 Apr 17

Regulatory Compliance Manager, Control Room - Regulatory Compliance

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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, Control Room.

Principal responsibilities

  • To support and assist senior line management of Global Banking and Markets in Hong Kong and the Asia Pacific region to comply with all relevant external regulations, codes of conduct and internal codes and policies, and good market practice that affect Global Banking and Markets' business in Asia Pacific. In particular, relating to Control Room activities such as research clearance, conflicts check clearance and dealing restrictions. Aim to replicate Control Room model similar that of United Kingdom and United States and target to work towards a Global Control Group model to provide continuous coverage.
  • To ensure that Control Room compliance functions within Hong Kong and Asia Pacific operate so as to service management and business needs by setting an example as a commercially aware compliance resource and encouraging management to view compliance as such.
  • To liaise and work with regional and local business compliance in providing comprehensive Control Room Compliance support to relevant Global Banking and Markets businesses
  • Be aware of the Operational Risk scenario associated with the role and act in a manner that takes account of operational risk considerations.
  • To monitor whether Global Banking and Markets' activities operate in such a manner and to take remedial action where necessary.
  • Successfully complete Anti-Money Laundering and Sanctions training and post-course assessment, as required


Qualifications
Requirements
  • Sound knowledge of the banking regulatory framework
  • Good understanding of the public or private side and the Chinese Wall concept
  • University graduate with solid experience in the compliance industry, preferably working in investment bank Control Room environment
  • Strong analytical and problem solving skills
  • Good communication and interpersonal skills
  • Able to work well under pressure and
  • Fluent in Cantonese, English and able to read and write Chinese. Mandarin would also be useful.
The chosen candidate for this role will be required to undergo enhanced vetting. Subject to local laws, this will require the individual to satisfactorily pass a series of additional checks as part of the recruitment process and on an ongoing basis, if appointed to the role. HSBC Group reserves its position with regard to any steps which it may take in relation to any material adverse findings which arise either when the checks are originally completed, and/or if relevant, on an ongoing basis. For more information about the enhanced vetting for this role please contact the recruiter for this role.

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