Senior Equity Manager Compliance Advisory - Compliance
HSBC Group
Kowloon City, Hong Kong
1天前

Job description

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 a Senior Equity Manager Compliance Advisory - Compliance

Principal Responsibilities

  • The incumbent will be responsible for providing coverage and oversight for electronic trading in Equities in particular, electronic trading systems, algorithmic trading, internet trading and direct market access across both cash equities, securities financing and equity derivatives
  • In addition, the role will also cover equity derivatives products like warrants, CBBC, single stock option market making as well as equity-link note program and associated hedging, which is also managed via algorithmic trading strategy
  • 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 and regional Equities business management stakeholders on regulatory risks to ensure consistency in the compliance approach and in the embedding of RC and Conduct policies, and
  • Providing timely escalation to the Head of Equities RC ASP, the Head of Markets RC, ASP and Equities senior management team where appropriate
  • Facilitate the risk management of compliance and regulatory risks related to electronic trading in Equities
  • To keep abreast of regional regulatory developments and anticipating changes on electronic trading and on conduct risk issues
  • To provide compliance support and expertise to other business units within Markets when required
  • To provide compliance training from time to time as appropriate and necessary to the Equities and / or the relevant stakeholders
  • To assist line management in resolving Conduct and Compliance issues as they arise
  • Requirements

  • Existing experience of working in a Compliance Advisory role in a Global Markets segment is preferred
  • Existing knowledge of the equities market, in particular electronic trading
  • Ability to support and implement the Conduct Risk and TCF agenda
  • Good knowledge of Hong Kong, Asian regulations related equities
  • Strong analytical and problem-solving skills
  • Strong communication and interpersonal skills
  • Strong team player
  • Fluent in English. Fluency in local language is preferred
  • Experience of working for a large international institution preferred
  • You’ll achieve more when you join HSBC.

    HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment.

    Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

    Issued by The Hongkong and Shanghai Banking Corporation Limited.

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