Senior Regulatory Compliance Manager

As a regulatory compliance (“RC”) risk steward, the role provides advice, guidance, opinions, direction and training to the 1st line of defense/business to facilitate adherence to relevant regulatory requirements. The role is dedicated to helping deliver fair customer outcomes and embedding a strong compliance culture into HSBC’s business management practice.

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

In this role, you will:

• Establish and maintain RC related local policies and guidelines, participate in forming annual compliance management plan and implementation.
• Oversee the implementation of new laws and regulations and Group RC policies pertaining to insurance products, services, and businesses, and drive business to facilitate effective execution.
• Conduct compliance risk assessments and provide compliance advisory opinions on new products/businesses/process/systems and investment.
• Organize and perform RC risk monitoring activities, thematic reviews, review & challenge on business’s RC risk related internal event management, identify potential RC risks in a timely manner, provide practical recommendations and appropriate oversight on business’ effective remediation.
• Assist in delivery of regulatory compliance projects, support regulatory engagement.
• Participate in compliance performance evaluation and accountability. Support company-wide compliance training and promote compliance culture, drive all employees to comply with the code of conduct and compliance policies.
• Draft internal and external RC risk related reports, promptly report any major violations of laws and regulations or significant compliance risks to Line Manager and the Chief Compliance Officer, etc., propose suggestions and oversee business rectification.
• Other work tasks assigned by Line Manager.

作为监管合规风险专家，为一道防线/业务提供相关的建议、指导、意见、方向和培训，督促业务遵守相关法规的要求，从而为客户提供公平的结果，并将合规文化融入汇丰的业务管理中。

• 建立并维护监管合规风险相关本地政策及制度，参与年度合规管理计划的制定，并予以推动贯彻落实；
• 监督保险产品、服务、业务方面新法律法规及集团监管合规政策要求的执行，推动业务部门制定合规管理相关制度、内部规范等予以落实；
• 开展新产品、新业务、新制度、新系统和保险资金运用等方面的监管合规风险评估并提供合规咨询审核意见；
• 评估及监测相关监管合规风险，实施合规审查、合规检查、合规风险问题及事件处理等，及时识别合规风险，提出合规改进建议并敦促落实整改；
• 协助完成监管合规项目，配合支持监管沟通工作；
• 参与实施合规考核和问责；支持汇丰人寿合规培训，培育合规文化，推动全体员工遵守行为合规准则；
• 起草内外部监管合规相关风险报告，及时向主管、首席合规官等报告发现的重大违法违规行为或者重大合规风险隐患，提出处理意见，并督促整改；
• 其他主管安排的工作任务。

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

• Strong proficiency in both written and spoken Chinese and English.
• Bachelor’s degree or equivalent academic qualification.
• At least five years’ experience （eight years‘ experience for Regulatory Compliance Senior Manager） in legal and/or compliance roles, with a solid understanding of regulatory requirements and compliance risk management in the insurance sector.  
• Background in compliance, audit or legal, with sound knowledge of local insurance laws and regulations.
• Good communication and interpersonal skills, with the ability to build effective relationships with local regulators, business departments and other functions.
• Ability to understand and analyze complex business inquires and to provide compliance advice applying innovative and commercially sound thinking.
• Well-developed team collaboration skills and a strong commitment to work.
• Proven ability to manage multiple priorities, balance competing demands and work effectively under pressure.

• 具有良好的中英文口语和书写能力；
• 具有学士学位或同等学历；
• 五年以上（高级经理需要八年以上）法律合规工作经验，熟悉保险相关监管及合规风险管理；
• 具有合规、审计或法律背景，熟悉当地保险行业法律法规；
• 具有良好的沟通和人际交往能力，能够与当地监管机构、业务部门和其他职能部门建立良好的关系；
• 理解和解释复杂的业务需求，并能够运用创新和商业思维提出合规建议；
• 具有较强的团队合作精神和良好的工作投入精神；
• 具有在多任务处理中优先考虑竞争需求并在压力下工作的能力。

You’ll achieve more at HSBC.

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 and inclusive and diverse environment. Personal data held by the Company relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by HSBC Life Insurance Company Limited