CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Head of FICC Compliance, Global Markets Regulatory Compliance Asia Pacific - Compliance
August 7, 2019
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.
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 leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.
We are currently seeking a high caliber professional to join our team as Head of FICC Compliance, Global Markets Regulatory Compliance Asia Pacific .
Provide Compliance leadership and oversight to the FICC business - specifically BSM, FX and Commodities and Fixed Income (Rates, Structured Rated, Credit, Secondary Loan Trading) businesses in order that line management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.
Build and ensure strong relationships with FICC senior management and Regulatory Compliance team members, adopting a joined up approach, to execute Regulatory Compliance risk at pace and with minimum conflict
Lead independent regulatory oversight, risk stewardship and challenge of the business and risk management practices across the Global FX and Global Rates Businesses ensuring the business objectives are aligned regulatory requirements
Manage and lead a team of specialized compliance officers covering Global FX and Global Rates businesses in Hong Kong.
Partner with regulatory change and other regulatory Subject Matters Experts to understand new and revised regulatory requirements, codes of practice etc, ensuring changes and any impact is disseminated to the appropriate Global FX and Global Rates Businesses
Direct and coordinate Country General Manager or Global Banking & Markets Compliance Officers providing advisory guidance, support and policy interpretation to the Global FX and Global Rates Businesses in their respective countries (19 countries in total).
Coordinating with equivalent counterparts in regional compliance teams across the Global Markets to ensure a consistent, best practice and 'joined-up' approach to the oversight of the businesses
Identify and undertake the necessary actions to provide solutions needed to discharge effective compliance advice to the FICC businesses
To provide the business with clear analysis, decisions and guidance in relation to business proposals, transactions and plans in the context of regulatory rules and regulatory change.
Thorough understanding of the existing and upcoming Hong Kong regulatory framework and Asia Pacific and Europe legislation in relation to FICC businesses;
Demonstrate advisory compliance experience in FICC products and product lines
Ambition to enhance compliance knowledge and skills in a rapidly changing and dynamic markets environment.
Willingness to embrace advisory compliance role challenges;
Ability to form effective relationships and achieve influence at the most senior level in the organisation
Excellent interpersonal, communication and influencing skills and confidence to deal with senior and executive level staff to defend guidance, sell the benefits of Compliance risk management and challenge their operating environment.
Working across all levels of the organisation to understand cross-functional linkages and interdependencies, as well as the implications of Compliance risk at both a strategic level and at the business unit level
Investigative and regulatory supervisory skills to drive deep-dive reviews of specific business activities and conduct
Ability to lead, manage and motivate compliance officers with a reporting line into the role
Sound judgment with g ood report writing skills.
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. HSBCMPA
Internal Number: 6267556
eFinancialCareers is a career site specializing in financial services.