Senior Equity Manager Compliance Advisory - Compliance Senior Equity Manager Compliance Advisory -  …

in Hong Kong
Permanent, Full time
Be the first to apply
Not Specified
in Hong Kong
Permanent, Full time
Be the first to apply
Not Specified
Senior Equity Manager Compliance Advisory - Compliance

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 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 and equity derivatives.

  • In addition, the role will also cover Warrants, CBBC and single stock option market making, 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 assist line management in resolving Conduct and Compliance issues as they arise.


  • 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                   

To be considered for this role, the relevant rights to work in Hong Kong is required.

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.   

Company Overview

HSBC is one of the world’s largest banking and financial services organisations. We serve more than 39 million customers through four global businesses: Retail Banking and Wealth Management, Commercial Banking, Global Banking and Markets, and Global Private Banking. Our network covers 66 countries and territories in Europe, Asia, the Middle East and Africa, North America and Latin America.

We aim to be where the growth is, connecting customers to opportunities, enabling businesses to thrive and economies to prosper, and ultimately helping people to fulfil their hopes and realise their ambitions.

Whether you are looking for a first job or taking the next step in your career, we offer many ways for you to realise your ambitions. Come and work with us and you'll have opportunities to make connections all over the world and help build the bank for the future.

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