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Senior Regulatory Compliance Manager, Control Room Operations - Regulatory Compliance
May 8, 2018
Some careers open more doors than others. If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities.
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 Senior Regulatory Compliance Manager, Control Room Operations .
Work directly with the control room team to make sure that as a business any new products and services are aligned to the Global Standards framework and meet all the necessary Regulatory Compliance and Financial Crime Compliance requirements.
Supports the Heads of Regulatory Compliance Control and provides Regulatory Compliance advice, guidance and support to the Control Room management teams, via Regional Regulatory Compliance Heads. The role will assist the Regulatory Compliance Heads in the development, deployment and continued oversight of globally consistent Regulatory Compliance policy for all business units and ensure that all entities develop and maintain the highest Financial Crime Compliance standards by following both the letter and the spirit of the relevant regulatory requirements, Group Standards Manual, Fiduciary and Legal and the Compliance policies.
The role will be accountable for building robust compliance coverage for Regulatory Compliance and Financial Crime Compliance
Setting policies and standards to cover compliance issues
Advising line management of the impact on their businesses and functions of applicable external or internal regulations
Supporting line management in discharging their responsibilities to comply with applicable regulations, for example by reviewing new products or activities for compliance implications, identifying potential rule breaches, enforcing changes to relevant manuals to reflect regulatory requirements, monitoring the businesses for adherence to the regulations and providing input to audit and training programmes
Assisting line management in the conduct of crisis management, for example ad hoc investigations into rule breaches
Providing an independent reporting mechanism for all executives
Fostering good relations with the regulators
University graduate with relevant working experience in the compliance or investment banking industry, preferably working in investment bank Control Room environment
Strong analytical and problem solving skills
Good communication and interpersonal skills
High standard of written documentation
Ability to work with minimal supervision and on multiple tasks simultaneously and uses initiative to resolve issues
Excellent time management and prioritization of work tasks
Self motivated, enthusiastic and proven learning ability
Able to work well under pressure
Fluency in Cantonese and English, along with the ability read and write Chinese, with Putonghua proficiency an advantage
You'll achieve more when you join HSBC.
Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.
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.