• Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 2019-05-25

Investigations Manager, Trade and Wholesale Risk Investigations - Compliance

  • Full time
  • Hong Kong
  • 25 May 19

Investigations Manager, Trade and Wholesale Risk Investigations - 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.

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 Investigations Manager, Trade and Wholesale Risk Investigations .

Principal responsibilities

  • All suspicious transaction and sanctions queries referred from GTRF Middle Office within the Region Asia Pacific is reviewed and responded to.
  • Reporting any suspicious transactions to the relevant country MLRO for further reporting to authorities.
  • Undertaking quality assurance work relating to transactions processed at Level 2 Middle Office, and monitoring approach adopted by BRCM is undertaken in line with laid down procedures.
  • Undertaking any other additional responsibilities towards training and other FCC and RC tasks that may arise with the development of the FCC and RC control framework within GTRF.
  • Develop and maintain open and collaborative working relationships with relevant stakeholders including CMB Business, Technology System leads and Compliance function
  • Ensure that the independence of the Compliance Function is not impaired and line management is alert to and assume compliance responsibilities.
  • To continually reassess the operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
  • To adhere to and be able to demonstrate adherence to internal controls.
  • To manage, rectify and report, as appropriate, material breaches of regulations and breaches relating to monitoring findings.



  • Experience in either Compliance or GTRF is essential.
  • Experience in having undertaken investigator type responsibilities in relation to AML, Sanction, Financial Crime or Fraud is highly desirable.
  • Working knowledge of GTRF products and services is highly desirable.
  • Awareness of regulations affecting the GTRF business particularly, anti-money laundering, and sanctions is desirable.
  • Experience and understanding of the HSBC Group, its culture, policies and procedures desirable.
  • Awareness of HSBC Group's standards, GSM and FIM, particularly Compliance FIM and COH.
  • Ability to work in a multi geographical matrix management environment.
  • Confidence to interact, influence and negotiate with business management.
  • Excellent oral, written communication and presentation skills, interpersonal skills.
  • Ability to support decisions with sound reasoning.
  • Ability to clearly articulate business and regulatory implications of analysis and findings.
  • Highly motivated self-starter with proven ability to work collaboratively within a team and to deliver on time.

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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