Senior Manager of Regulatory Affairs, Fintech

2 months ago

Shanghai, Shanghai, China HSBC Full time

Join a Global Compliance Team

Compliance serves as a pivotal function that integrates all dimensions of regulatory and financial crime risk management. As stewards of risk, we collaborate with various specialized teams to assist HSBC in navigating a multifaceted regulatory environment, ensuring a sustainable compliance risk management approach that promotes safe growth and fair customer service.

Position Overview

We are looking for a seasoned professional to become a vital part of our team.

Key Responsibilities:

  • Support the establishment and maintenance of a robust Compliance Control Framework for HSBC FinTech Servco and Pinnacle, ensuring adherence to all applicable external laws, internal policies, and market best practices concerning Regulatory Compliance and Financial Crime risks.
  • Work collaboratively with FinTech and Pinnacle business units, along with other compliance teams, to develop a comprehensive compliance structure and framework tailored for the FinTech Servco.
  • Provide expert advice on Compliance matters, engaging with senior management and business teams to strategize on managing Compliance risks effectively.
  • Act as an independent advisor in governance discussions, fostering a culture of compliance and enhancing relationships with risk and control owners.
  • Stay informed on local regulatory changes to ensure timely communication with the business and develop necessary policies to address these changes.
  • Clearly articulate the Regulatory Compliance and Financial Crime risks associated with HSBC FinTech Servco, ensuring proactive measures are in place to mitigate these risks.
  • Maintain strong relationships with relevant regulatory bodies, managing inquiries, inspections, and audits on behalf of the Fintech Company.
  • Oversee second-line governance of Regulatory Compliance and Financial Crime risk exposures, providing independent analysis and reporting to the Business.
  • Assist senior management in compliance-related matters, including the development and implementation of policies and procedures.
  • Report and escalate significant compliance issues and risks to the relevant compliance teams.
  • Lead the FinTech Compliance team, setting strategic operational objectives, managing budgets, and ensuring effective service delivery to the Business.

Qualifications:

  • Extensive experience in Compliance is essential.
  • A legal or accounting qualification or a professional background in risk or audit disciplines is required.
  • In-depth knowledge of regulations pertaining to Insurance, fund sales, Wealth, and FinTech in Mainland China.
  • Exceptional communication and interpersonal skills, with the ability to influence and engage stakeholders effectively.
  • Proven leadership experience and strategic thinking capabilities.
  • Ability to devise practical and cost-effective solutions to complex challenges.
  • Technologically adept, proactive, and possessing a positive mindset with a strong sense of ownership.
  • Ability to work autonomously while delivering excellence and seeking guidance when necessary.
  • Skilled in fostering a collaborative team culture and inspiring commitment among team members.

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