Associate Director, Regulatory Compliance - Compliance
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If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.
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 caliber professional to join our team as Associate Director, Regulatory Compliance
. Principal responsibilities
- Supports the Head of Regulatory Compliance of HSBC Global Asset Management Hong Kong Limited and provides Regulatory Compliance advice, guidance and support Asset Management Hong Kong management teams, via Regional Regulatory Compliance Head.
- The role will assist the Regulatory Compliance Head in the development, deployment and continued oversight of globally consistent Regulatory Compliance policy for AMHK business and ensure that all entities develop and maintain the highest Regulatory Compliance standards by following both the letter and the spirit of the relevant regulatory requirements, Group Standards Manual and the Compliance FIMs.
- Ensure proactive approach is taken to identification of regulatory risk change and potential impacts on Asset Management Hong Kong
- Provide advice and guidance on the Securities and Futures Ordinance, the SFC Fund Manager Code of Conduct, the SFC Code on Unit Trusts and Mutual Funds and SFC Code of Conduct for licensed person.
- Work directly with Asset Management Hong Kong team to make sure that as a business any new products or services meet all the necessary regulatory requirements.
- Building robust compliance coverage for Regulatory Compliance for Asset Management Hong Kong
- Setting policies and standards to cover compliance issues
- Advising line management of the impact on their businesses and functions of applicable external or internal regulations
- Supporting line management in discharging their responsibilities to comply with applicable regulations for example by reviewing new products or activities for compliance implications, identifying potential rule breaches, enforcing changes to relevant manuals to reflect regulatory requirements, monitoring the businesses for adherence to the regulations and providing input to audit and training programmes
- Assisting line management in the conduct of crisis management for example ad hoc investigations into SFC rule potential breaches
- Fostering good relations with the regulators
- Provide regulatory compliance support to the Business to identify and control regulatory risk.
- Liaise with regulator, internal and external auditors and assurance teams, for example acting as coordinator between the regulator and internal parties when there is regulator inspection.
- Prepare internal reporting to the Group Regulatory Compliance and Global Asset Management Regulatory Compliance.
You'll achieve more when you join HSBC.
- Graduate in Business Administration, Finance, Law of equivalent professional qualification
- Knowledge and work experience of Securities and Futures regulations and rules
- Extensive years in Regulatory Compliance experience and knowledge
- Experience in dealing with regulatory matters and interaction with regulators
- Strong communication and influencing skill
- Good analysis, interpretation skill
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