Lead Compliance Strategist in Fintech

2 months ago

Shanghai, Shanghai, China HSBC Full time

Overview: The Compliance function is integral to managing regulatory and financial crime risks across the organization. Our team collaborates with various specialized units to navigate the intricate regulatory environment, ensuring that our operations align with legal standards while promoting sustainable growth and fair customer service.

Position Summary: We are looking for a seasoned professional to enhance our Compliance team.

Key Responsibilities:

  • Support the establishment and maintenance of a robust Compliance Control Framework for the FinTech Servco and Pinnacle, ensuring adherence to all applicable laws, regulations, and internal policies.
  • Work collaboratively with business units and compliance teams to develop a comprehensive compliance structure tailored for the FinTech Servco.
  • Provide expert advice on compliance matters, facilitating discussions with senior management to effectively manage compliance risks.
  • Act as an independent advisor in governance forums, promoting a culture of compliance and fostering strong relationships with risk and control owners.
  • Stay informed on local regulatory changes to ensure timely communication and the development of appropriate policies.
  • Clearly articulate compliance risks associated with evolving regulations in the Fintech sector, ensuring proactive risk management.
  • Maintain productive relationships with regulators, addressing inquiries and managing regulatory inspections.
  • Oversee second-line governance of compliance risks, delivering independent analysis and reporting to the business.
  • Assist senior management in compliance-related matters, including the formulation and implementation of policies and procedures.
  • Report significant compliance issues and risks to the relevant compliance teams.
  • Lead the FinTech Compliance team, establishing strategic objectives and managing resources effectively to ensure service delivery.

Qualifications:

  • Extensive experience in compliance is essential.
  • A legal or accounting qualification, or a background in risk or audit is preferred.
  • In-depth knowledge of regulations related to Insurance, fund sales, Wealth, and FinTech in Mainland China.
  • Strong communication and interpersonal skills, with the ability to influence stakeholders.
  • Proven leadership experience and strategic thinking capabilities.
  • Ability to devise practical solutions to complex compliance challenges.
  • Proactive, tech-savvy, and possessing a positive attitude with a strong sense of ownership.
  • Ability to work autonomously while striving for excellence and seeking guidance when necessary.
  • Skilled in fostering teamwork and motivating team members.

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