Haikou Branch Compliance Officer (Designate)

Regulatory Compliance

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 an experienced professional to join our team.

In this role, you will:

-    Drive branch business, function and staff implement HBCN's Compliance (CMP) Policy and Procedure, strictly observe the law, regulation, local regulatory requirement and relevant Compliance rules; oversight branch compliance team discharge their role and responsibility (if applicable)
-    Understand, interpret and disseminate local regulatory requirement and oversight relevant stakeholders to implement including provide advice accordingly. Participate Compliance Review on significant branch decision by providing opinion of local regulatory requirement
-    Conduct compliance check which in line with CNQ' s Compliance Assurance' plan and timely report CNQ Compliance and Branch Manager the significant actual or potential breach / compliance risk, participate handling material compliance issue and RAC management
-    Participate BPA exercise on branch and providing compliance related opinion to the appraisal leading department
-    Proactively maintain sound working relationship and collaboration with local primary financial regulators and lead cooperation with regulatory inspection, review and daily communication. Oversight relevant stakeholders to remediate the regulatory finding or issue.
-    Establish branch CMP training mechanism to deliver regular compliance training to ensure branch staff understand regulatory requirement, bank CMP policy and guidance and constantly improve staff's compliance awareness.
-    Proactively cooperate with Risk or Financial Crime (FC) to support branch management effectively oversight branch operational risk and financial crime risk as well as internal control mechanism according to relevant procedure and guidance. Supports second LOD risk management oversight activity for other Risk function, in specific aligned risk area like Financial Crime Compliance Risk, Operational Risk and Reputational Risk at branch, by collaborative work with relevant risk SME and stewards.
-    Implement other role and responsibility required for branch Compliance Officer and team by Group and HBCN policy and procedure.

Your appointment will be subject to regulatory approval by the National Financial Regulatory Administration(“NFRA”)/China Securities Regulatory Commission (“CSRC”). Upon approval, you will be classified as China Local Material Risk Taker (MRT) and the MRT terms and conditions specified in HBCN/RRB/HACN/INSH/IBCN Variable Pay Deferral Guide will be applicable to any variable pay that may be awarded to you.

To be successful in the role, you should meet the following requirements:

•    University degree holder (BA or above); 
•    Work experience in financial industry and in legal and compliance management; or meet the mandatory qualification requirement on Branch Compliance Officer;
•    Professional knowledge and skill on legal, compliance management and risk management (including AML and FC related area) to fulfil the job-holder's responsibility
•    Mature interpersonal and communication skills (including fluent oral and written in English/Chinese formal reporting), team spirit, and capacity to influence stakeholder; 
•    Good project management experiences and ability to establish healthy relationships with both internal and external partners; and
•    Self-motivated, open and strong willingness to achieve under pressure and manage changes.

You’ll achieve more at HSBC.

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Issued by HSBC Bank (China) Company Limited