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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.
As part of Global Risk, Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC's regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities with regard to complying with the regulations and helps resolve compliance deficiencies.
We are currently seeking a high caliber professional to join our team as Monitoring and Testing Manager, Regulatory Compliance.
To Perform the activities of Hong Kong Regulatory Compliance HSBC Secuirties Services Monitoring and Testing team.
Ensure local monitoring activities are in accordance with Global Procedural Standards and conducted as a second line of defence.
Ensure Monitoring and Testing team provide adequate coverage of the Group's key regulatory risks, liaising with Global Compliance teams.
Ensure Monitoring and Testing team remain independent.
Foster a close working relationship with key stakeholders in the region and in the country.
Contribute to the preparation of Compliance Risk Assessments, drawing on the experience and knowledge of the Regulatory Compliance Business Compliance team and with the active participation of senior managers in the Business.
Proactively assist management in identifying and containing compliance risk.
Contribute to the preparation of the country Annual Test Plan.
Contribute to the preparation of consolidated management information on the results of monitoring across the different sites for Senior Management in the Business and Compliance.
Contribute to the provision of education and support to specialists on risk assessments, planning and conducting reviews.
Prepare reports to inform key stakeholders of the outcome of monitoring and review work, including rating findings and assigning owners or actions
Strong proven relevant business, audit experience or equivalent.
Strong risk assessment, control and testing skills and preferably audit related experience.
Audit related certification preferred
Relevant experience of a range of business activities, product lines and regulatory topics.
Proven organizational, planning, interpersonal, analytical, problem solving, decision making, and team work skills.
Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments on timely basis.
Ability to work with and also to lead different cultural groups and build consensus.
The chosen candidate for this role will be required to undergo enhanced vetting. Subject to local laws, this will require the individual to satisfactorily pass a series of additional checks as part of the recruitment process and on an ongoing basis, if appointed to the role. HSBC Group reserves its position with regard to any steps which it may take in relation to any material adverse findings which arise either when the checks are originally completed, and/or if relevant, on an ongoing basis. For more information about the enhanced vetting for this role please contact the recruiter for this role.
You'll achieve more when you join HSBC.
HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.