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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 Senior Regulatory Compliance Manager . Principal responsibilities
Ensure proactive approach is taken to identification of Regulatory Compliance risk and potential impacts on Retail Banking Wealth Management Business Model.
Continuous review for appropriateness of framework to monitor regulatory compliance developments impacting on Retail Banking Wealth Management Hong Kong.
Lead and implement programmes to quantify impacts and implement actions to address, manage and mitigate impacts of regulatory changes on Retail Banking Wealth Management Hong Kong.
Implement as required market product suitability, sales and staff remuneration policies and systems that ensure that Retail Banking Wealth Management's exposure to regulatory compliance and reputational risks is managed, in a practical and effective manner, including efficient and reasonable deployment of resources and an understanding of the business operations and needs.
Implements global standards and policies which ensure Retail Banking Wealth Management's exposure to current risks and emerging arising risk is managed appropriately, in a commercially focused and practical manner.
Works closely with Financial Intelligence Unit and Business Financial Intelligence Units to manage Risk and Compliance matters in Hong Kong.
Degree holder in Law, Finance or Accounting, with significant post qualification experience in reputable law firm or in the Compliance function of international financial institution.
Possess sufficient practical knowledge of banking products and services, particularly in relation to the retail banking business.
Possess a good knowledge of the Hong Kong regulatory environment, particularly the Securities and Futures Ordinance, Insurance Companies Ordinance, Banking Ordinance, Personal Data Privacy Ordinance and related codes and guidelines.
Significant leadership experience and a strategic thinker.
Excellent communication and interpersonal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business.
Ability to develop practical, cost effective solutions to complex issues.
Experience of dealing with regulatory matters and confident interaction with Regulators.
Experience of leading and motivating a team.
Experience of interpreting and analysing a large volume of information or data, and provide succinct summary for management.
Experience of working within a matrixed environment preferred including reporting internationally.
A high level of integrity and good analytical, communication and interpersonal skills are essential.
Demonstrate good judgement and initiatives and be able to work independently.
Possess good command of spoken and written English and Cantonese. Ability to speak Mandarin is an advantage.
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Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.HSBC is committed to building a culture where all employees are valued, respected and opinions count.
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