Compliance Manager Shenzhen
Shenzhen, GD, CN, 518010
Global Risk and Compliance
Risk and Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and ensures fair outcomes for clients. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.
We are currently seeking an experienced professional to join our team.
In this role, you will:
- Provide Compliance advice to business and functions in professional manner.
- Proactively maintain sound and collaborative relationship with local regulators, stakeholders, and management on branch compliance risk issues
- Identify and track implementation of local special regulatory requirement with consideration of Compliance R&R and Scope of CMP Risk stewartship, with guidance and SME support from Network & CNQ Advisory team on material and complicated cases.
- End-to-end coordinate material regulatory engagement (e.g. examine, potential penalty & RAC, supervisory rating, etc.) with support from CNQ stakeholders. with consideration of Compliance R&R and Scope of CMP Risk stewartship, with guidance and SME support from Network & CNQ Advisory team on material and complicated cases.
- Handle regulatory tasks (e.g. reg reporting & survey, self-check) with support from Central Utility and CNQ stakeholders
- Support FC risk related branch regulatory engagement and task handling under SME support from CNQ FC team
- Identify and escalate in timely mannder any material compliance risk in local and provide regular management update on Compliance issues in branches.
- Provide regular briefing/training on key local regulations and requirements to enhance compliance culture and awareness in branch
- Other risk stewardship activity as guided by Branch Compliance in Charge
To be successful in the role, you should meet the following requirements:
• University degree holder (BA or BS);
• At least 8 to 10 years work experience; Compliance / Risk function related experiences preferred. The candidate of branch Compliance-in-charge shall have at least 3 year working experience in financial industry;
• Mature interpersonal and communication skills, team spirit, and capacity to influence stakeholders;
• Fluent oral and written English/Chinese, and strong PC / presentation skills;
• Self-motivated, open and strong willingness to achieve under pressure and manage changes;
• Good project management experiences and ability to establish healthy relationships with both internal and external partners; and
• AML related regulatory training or qualification is a plus
• (8) Reasonable mobility within mainland China is required for specific role, where applicable
Interested employees please ensure that you submit your application before Unposting Date (as below).
For employees with less than 12 months in the same role, please obtain and attach your current functional manager's (and entity manager’s if you are a Regulatory Approval/Filing Required Role) approval in the application.
Please ensure to completely understand the 'Internal Job Application Guidance' below and adhere to it before you submit a job application.
https://hsbchrdirect.service-now.com/esc?id=kb_article&sys_id=69c810a51b659690ff35fe64164bcb83&spa=1
For details, please contact Jingle JI at (6086) 78882092 Tie Line 82092 [jinglelji@hsbc.com.cn]
You’ll achieve more when you join HSBC.
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Issued by HSBC Bank (China) Company Limited