Associate Director, Regulatory Compliance, Global Markets, Asia Pacific - Regulatory Compliance

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

Associate Director, Regulatory Compliance, Global Markets, Asia Pacific - Regulatory Compliance

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.

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, Global Markets, Asia Pacific.

Principal responsibilities

  • ​Provide coverage and oversight for Equities, across both cash equities and equity derivatives which may include Warrants and single stock option market making, and associated hedging
  • Advising on various regulatory aspects of the Equities businesses, in order that risk owners can ensure that their business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.
  • Promoting a compliance oriented culture, supporting the Equities business in delivering fair outcomes for customers and stakeholders and achieving HSBC's strategic objectives,
  • Advising the respective local compliance officers where applicable and regional Equities business management stakeholders on regulatory risks to ensure consistency in the regulatory compliance approach and in the embedding of Regulatory Compliance and Conduct policies, and
  • Providing timely escalation to the Head of Equities Regulatory Compliance Asia Pacific, the Head of Markets Regulatory Compliance, Asia Pacific and Equities senior management team where appropriate.

  • Understand and implement Regulatory Compliance control procedures using relevant internal and external rules and regulations that apply to the conduct of the business in which the role holder is involved in;
  • Utilise a wide range of influencing, negotiation and escalation techniques that are appropriate and required
    during the course of performing the duties
  • Keeping abreast of regulatory developments, especially on Benchmark activities and anticipating changes
    in order to ensure accuracy of advice provided to the business;
  • To meet the demands to discharge advisory and control duties in relation to Global Markets business lines
    in order that line management can ensure that the business is conducted in accordance with all
    applicable laws, rules, regulations and codes of practice. Commensurate with experience and grade.
  • To work with the business on high profile projects to ensure that the regulatory demands of those projects
    are met.
  • 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.
  • To deliver on a programme of Regulatory Compliance training for relevant businesses
  • ​Demonstrate core behaviours and values including teamwork, focus, drive and determination.
  • Work collaboratively across peer group and organisation.
  • Collaborate and foster good relations with the business, Compliance teams and departments.
  • Must have appropriate interpersonal skills to be able to integrate into an existing close team and smoothly implement change.

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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