Senior Compliance Specialist

2 weeks ago


Guangzhou, Guangdong, China HSBC Full time

HSBC, a leading financial services organisation, is seeking an experienced professional to join its team in the role of Senior Compliance Specialist - Global Risk and Assurance Services.

Key responsibilities include:

  • Customising and localising standard test scripts to evaluate assigned controls for design and operating effectiveness.
  • Ensuring assigned control assessments meet quality control requirements and adhere to RCAS & CA procedures and templates.
  • Supervising the delivery of assigned control assessments, ensuring timely completion in accordance with the CA assessment plan.
  • Managing control owners and stakeholders, ensuring the success of each assigned review and minimising contention.
  • Documenting distinct control types, covering key aspects such as remit, main processes, and handovers to other teams.
  • Ensuring issue owners complete root cause analysis for all material issues and have appropriate remediation plans in place.
  • Developing and motivating CA Managers through coaching and on-the-job training, ensuring successful delivery of assigned control assessments.

Requirements for this role include:

  • Minimum of 3 years proven experience in assurance, audit, compliance or risk management within financial services or other major industries.
  • A good understanding of insurance risk and control frameworks, including knowledge of relevant regional laws, regulations, and the overall regulatory environment.
  • Understanding of resilience risk and model risk, and the end-to-end insurance business life cycle requirements.
  • Minimum Bachelor's degree in a related field such as business, finance, law, or equivalent experience; Master in Finance or Financial Risk Manager (FRM) or Chartered Financial Analyst (CFA) is preferred.
  • Proven ability to question, evaluate, and improve existing business processes and adequacy of information.
  • Proven organisational, planning, interpersonal, managerial, analytical, problem-solving, decision-making, and team building skills.

Candidates with relevant experience and skills are encouraged to apply.



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