Associate Director, Regulatory Compliance - Regulatory Compliance

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • HSBC
  • 20 Jul 18 2018-07-20

Associate Director, Regulatory Compliance - Regulatory Compliance

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 Associate Director, Regulatory Compliance.

Principal responsibilities

  • Will be part of a Global and Regional team that provides direction and support to the Markets Regulatory Compliance teams specific activities globally across Global Businesses, Global Functions, and jurisdictions within the second line of defence, in order to obtain reasonable assurance that the business is operating in line with relevant laws, regulations, codes and HSBC Group Standards within Regulatory Compliance
  • The role will undertake key regulatory programme activities as part of the Regulatory Compliance function and be responsible for leading the effort in regionally, while supporting and working with the Global program in London.
  • General areas of responsibility include:
  • Work closely with the Markets Conduct Programme, the Asset Class Small Medium Enterprises within Markets Regulatory Compliance and regional and country stakeholders to deploy the risk assessment and follow on implementation activities for the regional hub.
  • All aspects of Regulatory Compliance, perform 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.
  • 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.
  • Lead thought to provide policy advice related to Global Markets products, services and clients, and ensure that the Regulatory Compliance function is resourced adequately to address the risks associated with Global Markets business.
  • Assist with rule Interpretation, mapping and traceability with respect to the FRB Order
  • Assist in the development of policy and training
  • Drive the develop the compliance framework to integrate with the bank's operational risk views, and as Risk Stewards provide independent oversight
  • Work with the Regulatory Compliance Global Delivery Leads to ensure the successful implementation of this programme


Qualifications
Requirements
  • Strong analytical and problem-solving skills, as well as collaborating with globally dispersed teams.
  • A very good understanding of the financial services industry, regulatory landscape and compliance, and experience or knowledge of working with the FRB would be beneficial but not essential
  • Good communication and influencing skills, 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.
  • Sound Judgment
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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