Beijing, Beijing, China
4 days ago
Senior Manager Regulatory Affairs and Governance, HSBC Broker

As for the regulatory affairs management in INBB as below listed relates to the wide engage with NFRA, CSRC, PBOC as well as relevant industry associations due to two kinds of granted licenses in insurance intermediary and fund sales business.

We are currently seeking an experienced professional to join our team.

In this role, you will:

I. Regulatory Affairs Management

· Establish and maintain regulatory affairs and RC governance-related policies and guidelines.

· Support line manager to ensure all regulatory-related tasks of INBB such as surveys, meetings and on-site/off-site visits or inspections as well as diversified ad-hoc inquiry, reports required by regulators are properly managed in a cooperative, proactive and responsive manner.

· Support INBB Senior Management in managing the regulatory relationship in compliance with applicable regulations, protect the good reputation of PINB, avoid regulatory sanctions in the course of conducing insurance/fund sales business in China.

· Proactive engagement with the regulators to support material strategic and business development of INBB that need regulators’ administrative authorization.

· Manage the routine regulatory filings and regular submissions to ensure that the company’s implementation is in comply with regulatory supervision request.

II. RC Governance Oversight

· Deliver an effective reporting and oversight capability, where deemed necessary, country level which enables the functions to deliver oversight to relevant governance committees.

· In collaboration with other teams within Compliance, develop and maintain the risk steward view of the effectiveness of the compliance risk framework, support thematic review and risk monitoring around the branches by collaboration with network compliance team and ensure that this view is communicated consistently to relevant risk governance meetings.

· Support line manager to oversee compliance/regulatory risk.

· Oversight and management of risk appetite reporting and provision of comprehensive analysis and insightful commentary to senior management and through governance up to and including Risk Management Meetings and Boards.

· Development, implementation and ongoing management of the risk appetite framework, including methodologies and processes.

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