Assistant Vice President Regulatory Compliance

6 months ago

Guangzhou, China HSBC Full time

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.

HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions.

We are currently seeking an experienced professional to join our team in the role of Assistant Vice President Regulatory Compliance - AMH CMBGBM COMPLIANCE ADVISOR.

Principal responsibilities

Impact on the Business

Oversee the critical Compliance policies and systems that impact Hong Kong and ensure that the Group’s exposure to Regulatory Compliance risks is managed in a commercially sensitive, practical and cost effective manner. Provide advice and support on Regulatory Compliance risks to senior management, Compliance and other colleagues. Membership of relevant regulatory compliance related committees/forums/governance meetings. 

Customer / Stakeholders

Reporting to Head of Regulatory Compliance CMB & GBM Hong Kong as relevant on Regulatory Compliance risks matters. Ensure that senior management are appropriately advised of all material regulatory compliance related matters relating to Hong Kong. Manage and foster a strong relationship with all relevant regulators in relation to the activities of Hong Kong and ensure timely disclosure of relevant information, in relation to Regulatory Compliance related matters. Ensure that positive relationships are maintained with other external stakeholders relevant to the regulatory compliance agenda. 

Leadership and Teamwork

Maintain and develop positive and professional working relationships with senior business managers and Compliance colleagues at the Group level and those in other Regions and Businesses. Support to establish a strategy for the sharing of Regulatory Compliance risks related compliance knowledge and best practice across Hong Kong and the wider Risk & Compliance Function and Group.

Operational Effectiveness and Control

Support to create a framework for the effective risk-based monitoring of the implementation of Regulatory Compliance risks related policies and controls across Hong Kong. Agree and oversee the implementation, embedding and monitoring of the adherence to the Compliance FIM in Hong Kong. Monitor and assess the resourcing, costs and spend of the Hong Kong regulatory compliance team. Requirements

Major Challenges

HSBC is an extremely diverse business with significant geographical spread and activities that span a universal banking model, including continuing to innovate to keep abreast of changes in financial services markets globally. Such activity is in an increasingly regulated and complex global environment with often little consistency between laws and regulations in different jurisdictions and regulators taking a far more proactive approach in ensuring local compliance with their requirements and imposing increasingly stringent sanctions for breaches.

It is the role of the Regulatory Compliance Manager, Securities Services, as a key member of the Risk & Compliance function to assist the Group in achieving a balance between the demands of regulators, external bodies and governmental initiatives and the Group’s shareholders and customers in enacting compliance; being alive to the political, management, regulatory and reputational implications of a particular decision and courses of action; assisting executive management in the development of controls and systems and influencing the way in which the business is conducted in order to manage these risks, meeting Group risk appetite. The increased focus on individual liability for senior managers, particularly risk heads, makes it increasingly important for the Group to be able to evidence adequate systems and controls. The role is one where regulatory authorities have high expectations and is likely to come under scrutiny as part of any major regulatory investigation.

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

Due to the urgent hiring need, candidates with immediate right to work locally and no relocation need will be prioritised.

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