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Vice President, Global Markets Regulatory Compliance - Compliance
February 19, 2021
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Financial Crime Compliance aligns current activities within Global Risk and helps to build these into a more integrated framework to conduct Customer Due Diligence which enables HSBC to manage financial crime risk more effectively. It builds stronger controls to improve the way Financial Crime Compliance risks are managed in order to spot gaps as well as trends so that the team can take action. It proactively gathers and analyses financial intelligence in a smart way so that suspicious transactions, activities or connections can be identified and we can adequately protect our customers from the threat of financial crime.
We are currently seeking a high calibre professional to join our team as a Vice President, Global Markets Regulatory Compliance.
The role holder will be part of a ASP Regional Markets and Securities Services ("MSS") Compliance team that provides direction and support to the Global MSS Business activities in Asia, within the second line of defense, in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and HSBC Group Standards within Compliance
The role will undertake key regulatory programme activities as part of the Compliance function and be responsible for leading the effort in the Asia region, whilst supporting and working with the Global program and compliance teams in London
General areas of responsibility include handling all aspects of Compliance, including impact analysis of regulatory initiatives or actions, driving coordination, execution and assurance of the FRB Order Risk Assessment work streams and, ensuring alignment with Global Standards set by the central team
Advise as required, the business management and GMRC teams, to ensure that appropriate compliance programs, policies, procedures, and other controls are in place and operating effectively and satisfy supervisory obligations
Demonstrate expertise in Conduct Risk rules and industry best practice, apply that expertise within the HSBC context in order to execute and effect risk assessment
Driving regulatory changes impacting the MSS, in close coordination with asset class SMEs and Business management.
Face-off vis-à-vis regulators, as Compliance representative on key cross asset projects and initiatives for MSS business
Development and continuous review for appropriateness of Operational Risk Management Framework (ORMF) to monitor compliance developments impacting the MSS business in region.
Lead the development of policy and training such as Management information and reporting; compliance planning
At least 8 years of working experience in Financial services sector in a developed market
Strong analytical and problem-solving skills, as well as collaborating with Globally dispersed teams, and stakeholders at various levels of seniority
A very good understanding of the financial services industry, particularly Global Markets business; regulatory landscape and compliance in the region, and experience or knowledge of working with the FRB and DoJ would be beneficial but not essential
Good communication and influencing skills and strong written and oral communication skills demonstrated by a history of writing reports and making oral presentations to senior staff either within the HSBC Group or similar
To be considered for this role, the relevant rights to work in Hong Kong is required
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Issued by The Hongkong and Shanghai Banking Corporation Limited.