Regional Senior Manager, Regulatory Compliance Advisory – MSS
Some careers grow faster 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.
Risk and Compliance is a Second Line of Defense (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as ‘the First LOD’) to ensure that they effectively manage as ‘Risk Owners’ the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Risk and Compliance function is a Risk Steward for a number of financial and non-financial risks in accordance with HSBC Group’s risk framework.
Role Purpose:
To provide pro-active Regulatory Compliance support to Markets Securities Services (MSS) in order to assist management in ensuring that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice. This will include:
Duties Responsibilities:
• Work collaboratively within the business and Compliance to ensure the provision of a highly professional, competent and skilled Compliance service.
• Internal HSBC policy changes arising from the implementation of the wider Compliance blueprint, particularly with respect to Conduct matters.
• Play a key role in your team’s delivery of outstanding performance.
• Provide compliance support and expertise to other business areas within MSS when required to do so (e.g. deputize during absence of other Compliance staff).
• Provide functional support and guidance on Compliance matters to impacted businesses in liaison with the respective local Compliance lead and/or Country Head of Compliance.
• To support and assist senior line management to comply with all relevant external regulations, internal codes/policies and good market practice.
• Proactively assist management in identifying and containing compliance risk.
• Provide periodic training to the business in procedures and practices necessary to achieve compliance with regulatory and internal standards.
• Assist with Group/regulatory reporting and ad-hoc projects as required.
• Ensure roll out of best practice within the MSS business in MENAT and support the country Regulatory Compliance teams as required.
• Keep abreast of regulatory trends, changes to Group standards and business developments.
• Escalate all material and significant breaches or potential breaches of regulations / policies as soon as practicable to local and functional Compliance leads as well as business management.
• Assist in the oversight and challenge of the risk management practices across MSS MENAT ensuring the business objectives are aligned with regulatory requirements.
• Build and ensure strong relationships with key stakeholders and team members, adopting a joined-up approach, to mitigate Compliance risk at pace and with minimum conflict.
• Analyze stakeholder goals vs regulatory requirements and effectively manage their expectations, addressing any misalignment.
• Manage and negotiate policy decisions and business solutions so that key stakeholders are bought into decisions that optimize effectiveness for HSBC whilst effectively addressing Compliance Risk
• Appropriate interpersonal skills to effectively function as part of an existing stable team.
• Strong, persuasive personality required to cope with challenging business situations.
• Effectively support the country Compliance teams covering the local MSS business
• Collaborate and foster good relations with other Compliance teams/ colleagues, both domestic and international.
• Compliance coverage/support for the business will reduce compliance, business, and operational risk for MSS MENAT
• Ensure that the MSS Business are appropriately trained on key Compliance matters such as Suitability, Market Abuse and conduct matters.
• Ensure that Group/regulatory reporting and ad-hoc projects are completed on a timely basis and in a quality manner.
• Monitor changes to legislation/regulation, business practices and products to ensure that the Regulatory Compliance coverage and Business adherence is maintained and focused accordingly.
Regional Senior Manager, Regulatory Compliance Advisory – MSS
Some careers grow faster 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.
Risk and Compliance is a Second Line of Defense (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as ‘the First LOD’) to ensure that they effectively manage as ‘Risk Owners’ the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Risk and Compliance function is a Risk Steward for a number of financial and non-financial risks in accordance with HSBC Group’s risk framework.
Role Purpose:
To provide pro-active Regulatory Compliance support to Markets Securities Services (MSS) in order to assist management in ensuring that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice. This will include:
Duties Responsibilities:
• Work collaboratively within the business and Compliance to ensure the provision of a highly professional, competent and skilled Compliance service.
• Internal HSBC policy changes arising from the implementation of the wider Compliance blueprint, particularly with respect to Conduct matters.
• Play a key role in your team’s delivery of outstanding performance.
• Provide compliance support and expertise to other business areas within MSS when required to do so (e.g. deputize during absence of other Compliance staff).
• Provide functional support and guidance on Compliance matters to impacted businesses in liaison with the respective local Compliance lead and/or Country Head of Compliance.
• To support and assist senior line management to comply with all relevant external regulations, internal codes/policies and good market practice.
• Proactively assist management in identifying and containing compliance risk.
• Provide periodic training to the business in procedures and practices necessary to achieve compliance with regulatory and internal standards.
• Assist with Group/regulatory reporting and ad-hoc projects as required.
• Ensure roll out of best practice within the MSS business in MENAT and support the country Regulatory Compliance teams as required.
• Keep abreast of regulatory trends, changes to Group standards and business developments.
• Escalate all material and significant breaches or potential breaches of regulations / policies as soon as practicable to local and functional Compliance leads as well as business management.
• Assist in the oversight and challenge of the risk management practices across MSS MENAT ensuring the business objectives are aligned with regulatory requirements.
• Build and ensure strong relationships with key stakeholders and team members, adopting a joined-up approach, to mitigate Compliance risk at pace and with minimum conflict.
• Analyze stakeholder goals vs regulatory requirements and effectively manage their expectations, addressing any misalignment.
• Manage and negotiate policy decisions and business solutions so that key stakeholders are bought into decisions that optimize effectiveness for HSBC whilst effectively addressing Compliance Risk
• Appropriate interpersonal skills to effectively function as part of an existing stable team.
• Strong, persuasive personality required to cope with challenging business situations.
• Effectively support the country Compliance teams covering the local MSS business
• Collaborate and foster good relations with other Compliance teams/ colleagues, both domestic and international.
• Compliance coverage/support for the business will reduce compliance, business, and operational risk for MSS MENAT
• Ensure that the MSS Business are appropriately trained on key Compliance matters such as Suitability, Market Abuse and conduct matters.
• Ensure that Group/regulatory reporting and ad-hoc projects are completed on a timely basis and in a quality manner.
• Monitor changes to legislation/regulation, business practices and products to ensure that the Regulatory Compliance coverage and Business adherence is maintained and focused accordingly.
Experience Qualifications:
• University graduate
• Experience of working in a Markets Securities Services Compliance role is preferred.
• An understanding of the key regulators in the MENAT region including their culture, policies, and expectations.
• An understanding of the potential impact of foreign regulatory developments to Markets Securities Services activity in MENAT.
• Broad Markets product knowledge.
• Proven analytical and problem-solving skills, together with the ability to support decisions with sound reasoning.
• Strong team building and people skills.
• Strong interpersonal and influencing skills with the ability to communicate effectively with both Compliance colleagues and the Business.
We support our staff to adopt flexible and alternative ways of working where possible, including working from home and different hours subject to approvals.
For further details and application information please visit our careers site, searching under reference number. (ID: 0000KYZL)
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 Hong Kong and Shanghai Banking Corporation Limited.
Experience Qualifications:
• University graduate
• Experience of working in a Markets Securities Services Compliance role is preferred.
• An understanding of the key regulators in the MENAT region including their culture, policies, and expectations.
• An understanding of the potential impact of foreign regulatory developments to Markets Securities Services activity in MENAT.
• Broad Markets product knowledge.
• Proven analytical and problem-solving skills, together with the ability to support decisions with sound reasoning.
• Strong team building and people skills.
• Strong interpersonal and influencing skills with the ability to communicate effectively with both Compliance colleagues and the Business.
We support our staff to adopt flexible and alternative ways of working where possible, including working from home and different hours subject to approvals.
For further details and application information please visit our careers site, searching under reference number. (ID: 0000KYZL)
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 Hong Kong and Shanghai Banking Corporation Limited.