Vice President Compliance Advisory

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Global Asset Management

Global Asset Management, the investment management business of the HSBC Group, serves HSBC’s worldwide customer base of retail and private clients, intermediaries, corporates and institutions invested in both segregated accounts and pooled funds. Global Asset Management fulfils its purpose of connecting HSBC’s clients with investment opportunities around the world through an international network of offices in approximately 30 countries, delivering global capabilities with local market insight.

We are a global asset manager with a strong heritage of successfully connecting our clients to global investment opportunities. HSBC Mutual Fund India manages Indian equity and debt assets from last 20 years. We have clear and differentiated product offerings across asset classes. Our local team has ability to identify and position for global trends well supported by global perspective on long term asset prices.

Job Description – VP – Regulatory Compliance Advisory (GCB 5) (India Asset Management (AMIN))

This position requires at least about 10-12 years of experience in asset management compliances and a very good understanding of the regulatory framework applicable to asset management businesses in India (including SEBI (Mutual Funds) Regulations, SEBI (Portfolio Managers) Regulations and other relevant applicable regulations. The following are certain high level job description of this profile: -

1. Identification of compliance risks and potential impacts on the business and provide guidance to business on compliance advisory requirements, including supporting the AMIN Head – Compliance Advisory (LCO) to implement policies to meet HSBC requirements and local legislations;

2. Implement the HSBC’s compliance strategy, policy and standards, controls, systems and policies are being implemented in country and for Asset Management business;

3. Liaise with internal and external stakeholders in relation to compliance risk in country (including regulators);

4. Provide support on the oversight and management, of all aspects of compliance risk in the country and for AMG;

5. Stay at the forefront of key regulatory changes to ensure proactive communication with business and implement appropriate group policy and framework to manage the changes;

6. Provide advice to business in country on risk associated with prospective business, products and service and design mitigation controls and strategies as appropriate;

7. Ensuring regulatory filings, data submissions in a timely manner and coordination for regulatory inspections and other local audit requirements. Coordinating and timely resolution of investors’ complaints escalated by the regulator. Undertaking of required checks for all employee trades and related compliances.

8. Timely and efficient submission of various compliance reporting to the Group and regulatory submissions. This also includes providing timely and relevant risk information to senior management and governance forums;

9. Assisting LCO in discharging his/her regulatory obligations by identifying and containing compliance risks by monitoring, escalation, reporting, etc. and fostering a compliance culture within the entity.

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