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Associate Director, Global Research Regulatory Compliance
January 5, 2020
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 Associate Director - Research Compliance
The role holder will undertake or chaperone certain calls and meetings involving Global Research and non Global Research personnel.
Act as a gatekeeper for emails and certain other requests from Global Banking and Markets, Commercial Banking, Private Banking, Asset Management, Retail Banking and Wealth Management and other external parties.
Undertake research report conflict reviews, working predominantly with APAC Regional RC Research and Global Control Room teams, escalating all sensitive matters to the Head of Banking and Research Compliance ASP.
Assist the Regional RC Research team in managing the wall-crossing of Global Research personnel, vetting, and pre deal report compliance due diligence.
Implement and cascade policies, procedures and best practices for purposes of developing a compliance framework to govern research.
Establish or augment a monitoring program to ensure research is distributed within parameters and comply with established controls, escalating to the Regional Head of Research Compliance.
Provide training on research related requirements, including new and existing regulations, Group Standards, Global Research policies and best practices.
Monitor the status of compliance issues identified and reported by regulators, internal audit, and risk management, Compliance Inspection or Research Compliance.
Provide updates to the Regional Head of Research Compliance and assist the business on remediation or integration efforts.
Ensure all the above activities are shared and communicated across the Global Research Compliance team structure for global alignment and consistency to all regions line of business under Research Compliance and to help deliver the Annual Research Compliance plan objectives and priorities.
Complete certain compliance related initiatives, projects and adhoc reviews as well as assisting with the core APAC RC Research compliance team gatekeeping responsibilities
Experience dealing with core Research Compliance activities including standards for content, analyst conduct and an understanding of conflicts of interest surrounding the interaction of different businesses with research analysts.
Understanding of the structure of research and experience with reviewing research reports for conflict of interest.
Possesses strong leadership qualities and is a strategic thinker.
Excellent communication and interpersonal skills, with experience dealing with employees at all levels and across country and regional borders, including the capacity to articulate the case for policy changes.
Experience dealing with regulatory and internal control matters.
Experience interpreting and analyzing a large volume of information or data and providing a succinct summary for management.
Ability to lead change and influence Compliance colleagues to embrace new approaches for the production and review of research and other written materials
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.