Senior Regulatory Compliance Manager, HSBC Fintech

8 months ago

Shanghai, China HSBC Full time

Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set standards across the industry to help HSBC safeguard its customers and the communities within which it operates.

We are currently seeking an experienced professional to join our team.

In this role, you will:

Primarily to support the business to build and maintain an effective Compliance Control Framework and discharge the Compliance responsibilities for the HSBC FinTech Servco, and Pinnacle to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices relating to Regulatory Compliance and Financial Crime risks.

Collaborate cross-functionally with the Fin Tech and Pinnacle business teams (collectively known as "Business"), as well as other compliance teams in China and ASP ("Compliance") to build the compliance structure and framework for the Fin Tech Servco in China.

Provision of advice to the Business on Compliance issues and liaison with Fin Tech, Pinnacle and senior management in planning how Compliance risks should be managed, operated and functioned in order to serve management and business needs.

To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.

To keep abreast of key local regulatory change to ensure proactive communication with the business and develop appropriate policy and framework to manage the changes.

Articulate the Regulatory Compliance and Financial Crime risks for the HSBC FinTech Servco with regards to evolving regulatory changes and developments in the Fintech space to ensure compliance risks are addressed and mitigated.

Engage and maintain strong relationship with relevant regulators on behalf of the Fintech Company and handle all related enquiries include regulatory inspections and audits.

Be responsible for second line governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance to the Business that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposures.

Assist the senior management of Pinnacle, the FinTech Servco, the leadership of the ASP Compliance function, and other colleagues on all local compliance related matters including setting and implementing compliance related policies and procedures.

Report and escalate material compliance issues and risks to ASP Compliance teams.

Lead the Fin Tech Compliance team, establishing guiding principles and strategic operational objectives, owning budgeting and managing costs, headcount and resources to ensure that the teams are fit for purpose and that the delivery of its critical services to the Business is both effective and cost-efficient.

Requirements

To be successful in the role, you should meet the following requirements:

Seasoned Compliance professional a must.

A legal or formal accountancy qualification or professional background in a relevant risk or audit discipline.

Specialist knowledge in Insurance, fund sales, Wealth and FinTech related regulations in Mainland China.

Compelling communication and people skills, with strong stakeholder management skills and being able to influence and persuade.

Significant leadership experience and an experienced strategic thinker.

Ability to develop practical, cost effective solutions to complex issues.

Tech savy, Energetic, Proactive and a positive mindset with a can do attitude and Strong ownership of tasks.

Able to work independently, execute excellence and seek direction as needed.

Ability to cultivate a team work culture and inspire motivation and commitment in the team.

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