Assistant Financial Crime Compliance Manager, Broking Services - Financial Crime Risk

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • HSBC
  • 21 Jun 18 2018-06-21

Assistant Financial Crime Compliance Manager, Broking Services - Financial Crime Risk

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.

Financial Crime Risk is a Global Function that brings together all areas of financial crime risk management at HSBC and is dedicated to implementing the most effective global standards to combat financial crime. The function has been set up in a way that enables us to build on our achievements in managing financial crime risk effectively across the bank and continue to strengthen financial crime detection, anti-money laundering, sanctions and anti-bribery and corruption compliance.

We are currently seeking a high caliber professional to join our team as Assistant Financial Crime Compliance Manager, Broking Services.

Principal responsibilities

  • Advise HSBC Brokering Services businesses on Financial Crime related risks, mitigate and areas of concern in the capacity of FCC in HCBS.
  • Maintain HCBS internal compliance standards, implement and observe Group FCC Policies and maintain staff awareness of compliance risk and minimise the likelihood of it occurring.
  • Review HCBS business on a regular basis in order to determine the level of Compliance risk and to report to FCC Senior manager all material and significant breaches or potential breaches of laws, rules, regulations and codes of practices.
  • Assist in the resolution of any FCC issues or problems.
  • Provide Compliance advice to business practices and products, helping resolve any Compliance related issues and problems, including the specification of procedures and systems enhancements.
  • Provide training to business areas in the procedures and practices necessary to achieve compliance. including in particular FCC related training courses.
  • Provide support to Anti-Money Laundering program and policies by participating in AML surveillance, monitoring and AML investigation.
  • Review and assess FCC risk from Transaction Monitoring reports, customer periodic reviews and trigger events to form an assessment of the customers continuation under FCC risk appetite.
  • Assist with report writing and escalation of customer cases either within the business or to HSBC, regulatory findings


Qualifications
Requirements
  • Experience in FCC Compliance function of securities broking operations in regulated by the SFC.
  • Analytical and communication skills
  • Highly motivated, with ability to work proactively and collaboratively within a small team and to deliver high quality work on time
  • Ability to support decisions with sound reasoning and deal with business in a professional manner

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.

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