Senior Conflicts Manager - Compliance
Central, Hong Kong Island, Hong Kong

The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), we're leveraging our digital capabilities to ensure we can continue to recruit top talent at HSBC.

As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey.

If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have.

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. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

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 calibre professional to join our team as Senior Conflicts Manager - Compliance.

Principal responsibilities

  • Supporting the management and mitigation of conflicts of interest from a transactional standpoint across the firm by assessing potential, perceived or actual conflicts of interest for transactions requiring conflict clearance
  • Escalating potential, perceived or actual conflict situations per Conflict Management Office procedures and guidelines as necessary to ensure a coordinated and effective resolution to situations
  • Maintaining adequate records of conflict situations in internal databases for regulatory, legal, and other record management purposes
  • Helping to drive the maintenance of the Group Conflicts of Interest Framework and the underlying procedures for conflict clearance of different transaction types and situations
  • Contributing to revisions of the Transactional Conflicts Desk Instruction Manual and other internal materials required as part of the Conflict Management Office's daily operations, and to training materials, changes to various systems and procedures, and other relevant issues pertaining to transactional conflicts
  • Coordinating and liaising with counterparts in regional and global Compliance, Legal, and other teams to ensure a consistent, best practice and 'joined-up' approach for applying the Conflict Management Framework and relevant procedures related to transactional conflicts
  • Providing regulatory advice and guidance on conflicts of interest, both via Conflict Management Office line management and directly to business lines and business line Regulatory Compliance teams, and assisting in instructing new team members to the Conflict Management Office on the relevant processes, procedures, policies, and systems
  • Respond to specific queries that are raised on Management Information by Senior Management
  • Understanding HSBC values and standards and applying these as part of daily responsibilities
  • Requirements

  • Highly proficient in dealing with stakeholders across the three lines of defence
  • Excellent working knowledge within financial services such as investment banking, advisory, commercial lending, capital markets, and derivatives
  • Experienced in managing transactional conflicts of interest within an investment bank
  • Able to interpret and analyse a large volume of information or data and provide succinct summaries for management
  • Good all round knowledge of the relevant laws, rules, and regulations relevant to conflicts of interest
  • Familiarity operating in a global regulatory environment
  • Understanding of the purpose, values, culture, and fundamentals of the Regulatory Compliance function
  • Strong verbal and written communication skills
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