Job description
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| Role Title | Business | Why join us? (Overview of Dept./Function) | The Opportunity: (Brief Overview of the Role) | What you’ll do: (List out Key Responsibilities) | What you will need to succeed in the role: (Minimum Qualification and Skills Required) | What additional skills will be good to have? (List out good to have skills and certifications) |
| Manager - RC GSC | Comp. Digital Bus. Serv./GF | As Risk Stewards, Regulatory Compliance (RC) Advisors i.e. GSC RC (Compliance DBS and Global Functions) provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. They are a key risk management role that has a broad remit and responsibilities, which include, but are not limited to; advice and oversight on Group policies on regulatory compliance, conduct, conflict management, regulatory engagement and general compliance issues. The remit may range from a small geographic area/country to global for a Function or Global Business Line. | As Risk Stewards, Regulatory Compliance (RC) Advisors i.e. GSC RC (Compliance DBS and Global Functions) provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. They are a key risk management role that has a broad remit and responsibilities, which include, but are not limited to; advice and oversight on Group policies on regulatory compliance, conduct, conflict management, regulatory engagement and general compliance issues. The remit may range from a small geographic area/country to global for a Function or Global Business Line. | e role holder's responsibilities include but are not limited to: • Assisting the GSC RC site lead in providing compliance support, advice and guidance to the first and second lines of defence relative to assigned regulation(s), regulatory requirements and/or compliance risks. • Helping identify any possible compliance deficiencies related to assigned regulation(s), regulatory requirements and/or compliance risks. Provide support to compliance projects which may include gathering and documenting functional requirements and reviewing key technical documentation. • Providing support to the team in order to ensure that risks are appropriately identified, reported and recorded in a timely manner. • Providing advice, guidance to assist the business in decision making and to ensure maintenance of HSBC’s high standards & Values. • Supporting execution and reporting of trend analysis metrics and all other available risk outputs. • Working with the wider compliance functions to identify emerging regulatory risk and to enhance and expand reportable issues. • Assisting management in undertaking research, collation and analysis of RC-related data management information (MI) for presenting to the regulatory governing bodies and Senior management team. • Assisting in handling of regulatory matters including on-site inspections, meetings, visits, surveys, administrative approvals. • Discharging the accountabilities set out in the Global Principles, policies and procedures and Compliance FIM by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification; fostering a compliance culture and optimising relations with regulators. • Assisting Compliance Management in their support of Business Management in fulfilling their responsibilities in complying with the spirit and letter of all regulatory requirements and key Group requirements, as established by Group Compliance. • Supporting, advising on and monitoring all aspects of the business, in order for senior management to ensure that the business lines are conducted in accordance with the letter and spirit of all applicable laws, rules and regulations, codes of practice, Global Principles, policies and procedures and the Compliance FIM. | Local Job Requirements • Promoting a positive compliance culture and perception of RC despite the stringent rules and regulations governed by different international and local regulations, as well as government agencies. • Developing and nurturing partnerships with Business Partner / Line of Business / Country RC units. • Keeping up to date with industry trends and new regulatory compliance rules and regulations that affect our BPs, processes migrated to the GSCs, or GSC entity itself. • Developing relationships with the First Line of Defence in both home and host environments, where required. • The jobholder must strive to balance risk and local needs whilst ensuring that regulatory requirements are maintained. • Maintain familiarity and good knowledge with the processes on site by regular interactions with internal stakeholders. • Ensuring quality standards are met and that submissions meet strict deadlines. Certifications, Qualifications & Experience • Experience in compliance, risk, legal, assurance or general audit within a banking/financial institution is an advantage • Ability to build business relationships and relate to a wide range of people and collaborate • Ability to conduct research, analyze and provide clear material advices • Attention to details on updating MIs, preparation of compliance reports, incident escalations, meeting minutes and in written advices • Excellent verbal and written communication skills; English language fluency; formal letters and report writing • Good presentation skills for meetings; and training delivery to a wide audience • Excellent influencing and negotiating skills • Ability to organize and manage time and workload independently • Ability to operate in changing environment |
Requirements
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| Role Title | Business | Why join us? (Overview of Dept./Function) | The Opportunity: (Brief Overview of the Role) | What you’ll do: (List out Key Responsibilities) | What you will need to succeed in the role: (Minimum Qualification and Skills Required) | What additional skills will be good to have? (List out good to have skills and certifications) |
| Manager - RC GSC | Comp. Digital Bus. Serv./GF | As Risk Stewards, Regulatory Compliance (RC) Advisors i.e. GSC RC (Compliance DBS and Global Functions) provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. They are a key risk management role that has a broad remit and responsibilities, which include, but are not limited to; advice and oversight on Group policies on regulatory compliance, conduct, conflict management, regulatory engagement and general compliance issues. The remit may range from a small geographic area/country to global for a Function or Global Business Line. | As Risk Stewards, Regulatory Compliance (RC) Advisors i.e. GSC RC (Compliance DBS and Global Functions) provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. They are a key risk management role that has a broad remit and responsibilities, which include, but are not limited to; advice and oversight on Group policies on regulatory compliance, conduct, conflict management, regulatory engagement and general compliance issues. The remit may range from a small geographic area/country to global for a Function or Global Business Line. | e role holder's responsibilities include but are not limited to: • Assisting the GSC RC site lead in providing compliance support, advice and guidance to the first and second lines of defence relative to assigned regulation(s), regulatory requirements and/or compliance risks. • Helping identify any possible compliance deficiencies related to assigned regulation(s), regulatory requirements and/or compliance risks. Provide support to compliance projects which may include gathering and documenting functional requirements and reviewing key technical documentation. • Providing support to the team in order to ensure that risks are appropriately identified, reported and recorded in a timely manner. • Providing advice, guidance to assist the business in decision making and to ensure maintenance of HSBC’s high standards & Values. • Supporting execution and reporting of trend analysis metrics and all other available risk outputs. • Working with the wider compliance functions to identify emerging regulatory risk and to enhance and expand reportable issues. • Assisting management in undertaking research, collation and analysis of RC-related data management information (MI) for presenting to the regulatory governing bodies and Senior management team. • Assisting in handling of regulatory matters including on-site inspections, meetings, visits, surveys, administrative approvals. • Discharging the accountabilities set out in the Global Principles, policies and procedures and Compliance FIM by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification; fostering a compliance culture and optimising relations with regulators. • Assisting Compliance Management in their support of Business Management in fulfilling their responsibilities in complying with the spirit and letter of all regulatory requirements and key Group requirements, as established by Group Compliance. • Supporting, advising on and monitoring all aspects of the business, in order for senior management to ensure that the business lines are conducted in accordance with the letter and spirit of all applicable laws, rules and regulations, codes of practice, Global Principles, policies and procedures and the Compliance FIM. | Local Job Requirements • Promoting a positive compliance culture and perception of RC despite the stringent rules and regulations governed by different international and local regulations, as well as government agencies. • Developing and nurturing partnerships with Business Partner / Line of Business / Country RC units. • Keeping up to date with industry trends and new regulatory compliance rules and regulations that affect our BPs, processes migrated to the GSCs, or GSC entity itself. • Developing relationships with the First Line of Defence in both home and host environments, where required. • The jobholder must strive to balance risk and local needs whilst ensuring that regulatory requirements are maintained. • Maintain familiarity and good knowledge with the processes on site by regular interactions with internal stakeholders. • Ensuring quality standards are met and that submissions meet strict deadlines. Certifications, Qualifications & Experience • Experience in compliance, risk, legal, assurance or general audit within a banking/financial institution is an advantage • Ability to build business relationships and relate to a wide range of people and collaborate • Ability to conduct research, analyze and provide clear material advices • Attention to details on updating MIs, preparation of compliance reports, incident escalations, meeting minutes and in written advices • Excellent verbal and written communication skills; English language fluency; formal letters and report writing • Good presentation skills for meetings; and training delivery to a wide audience • Excellent influencing and negotiating skills • Ability to organize and manage time and workload independently • Ability to operate in changing environment |