Job Description - Associate Director, Global Markets - Regulatory Compliance (0000C6EY)
Associate Director, Global Markets - Regulatory Compliance : 0000C6EY
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. As part of Global Risk, Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC’s regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities with regard to complying with the regulations and helps resolve compliance deficiencies. We are currently seeking a high caliber professional to join our team as Associate Director, Global Markets. Principal responsibilities
- Facilitate the management of compliance risk by those responsible for the conduct of the Group's business in Global Markets.
- Advise line management of the impact on the business of applicable laws, rules and regulations, notably relevant to Fixed Income Currencies and Commodities activities.
- Review and Analyse sample transaction to ascertain compliance with the relevant rules and regulatory requirements.
- Escalate all material breaches or potential breaches of regulations as soon as practicable.
- Represent Compliance on a number of internal Committees providing justification or guidance on regulatory issues.
- Existing experience of regulatory requirements and expectations in relation to customer complaint handling and sales suitability in Hong Kong.
- Prior experience in a Compliance Advisory role is preferred, candidates with legal background and experiences will be also considered.
- Existing knowledge of Fixed Income Currencies and Commodities markets and products, notably in Foreign Exchange.
- Good knowledge of Hong Kong, Asian regulations related to Fixed Income Currencies and Commodities products and markets.
- Strong analytical and problem solving skills.
- Strong communication and interpersonal skills.
- Strong team player.
- Fluent in English.
- Experience of working for a large international institution preferred.
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.
: Legal & Compliance
: Asia Pacific-Hong Kong-Hong Kong Island-Central
: Day JobType of Vacancy : Country vacancy
: 10-Jan-2019, 15:35:29
: 31-Jan-2019, 23:59:00