• Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 2019-03-23

Compliance Manager, Private Wealth Solutions - Compliance

  • Full time
  • Hong Kong
  • 23 Mar 19

Compliance Manager, Private Wealth Solutions - 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 Compliance Manager, Private Wealth Solutions.

Principal responsibilities
  • Undertake the administration for the Private Wealth Service Regulatory Compliance team such as department travel expenses, stationery, attendance records, review schedule, training records, SharePoint site, databases and systems.
  • Drive process efficiencies and quality improvement across all locations that rely on Private Wealth Service Regulatory Compliance Hong Kong
  • Assist in providing training across the team, including training on new enhancements and introductory training for new staff.
  • Escalate all confirmed Private Wealth Service procedures and policy breaches for appropriate action including reporting.
  • Assist the Head of Private Wealth Service Regulatory Compliance to coordinate across the Private Wealth Service business. Provide advice and guidance on any follow up action required and ensure records are appropriately evidenced.
  • Foster a good working relationship with Global, Regional, and Country Regulatory Compliance, including keeping abreast of key developments and any changes to Group policies, procedures and practices.
  • Provide backup support to the other Private Wealth Service Regulatory Compliance team peers to ensure adequate coverage for any holidays or sickness.
  • Demonstrate a willingness and aptitude to learn regulatory requirements and their application to the business. This includes understanding laws, regulations, guidance and industry rules, including any significant pending requirements. Also understand requirements in the Compliance Functional Instruction Manual and any Compliance matters residing in other applicable Functional Instruction Manuals.
  • Under the direction of Head of Private Wealth Service Regulatory Compliance Hong Kong, manage and implement actions to address, manage and mitigate impacts of regulatory changes on the Private Wealth Service business in Hong Kong.


Qualifications
Requirements
  • ​University Degree in either Business Administration, Business Management, Economics, Accounting or Law. A post graduate in the above is also welcome.
  • Experience in a large international financial institution with hands on experience in Disclosure of Subtatial Interest in Asia Pacific, and Hong Kong being most significant.
  • Experience in Cross Border activities for a Trust company, Part 15 of the Securities and Futures Ordinance, listing regimes, and basic Listed Company governance.
  • Operations of a Trust Company in Hong Kong and various offshore centers.
  • The nature of the job requires the holder to be able to work independently, analyse and adopt a constructive and proactive approach to changing conditions and regulations.
  • Personal integrity and good analytical skills and stakeholder management.
  • Strong character and inter-personal skills are essential in persuading the front office to develop a Regulatory Compliance culture, consciousness while maintaining good working relationship with all parts of the business.

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.

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.