Associate, Compliance, HCTW

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Digital Business Services is a pivotal part of the Group, providing essential operational and technical support to our global businesses and helping improve customer service and efficiency. Digital Business Services combines global expertise and technology to help keep us ahead of the competition.

The Compliance function is a Second line of defense (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage as “Risk Owners” the Regulatory Compliance risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework.

The role holder is the executive responsible for ensuring that HSBC’s operations in Taiwan are effective in identifying, managing and mitigating Regulatory Compliance risks and ensure timely advice is provided to the covered business.

People Responsibility: N

Report to: Associate Director and Head of Compliance

Job Content:

1. Support Retail brokerage project launch from RC perspective by providing regulatory compliance advisory and engaging regulators (include but not limited to FSC/TWSE/TPEx) where necessary.

2. Primarily to support Business Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices, with primary focus on Business area.

3. Assist Associate Director and Head of Compliance to oversee the critical Compliance policies and systems that impact Taiwan business and ensure that the Group’s exposure to Regulatory.

4. Compliance risks is managed in a commercially sensitive, practical and cost effective manner.

5. Assist Associate Director and Head of Compliance to ensure the proactive approach is taken to identify Regulatory Compliance risks change and potential impacts on business model in Taiwan.

6. Provide advisory services to business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.

7. Assist Associate Director and Head of Compliance to be responsible for the second line governance of Regulatory.

8. Compliance risks exposures, providing analysis, reporting and governance to Taiwan that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure.

9. To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.

Qualification:

1. Experience across all areas of Compliance risks in financial services industry, and an experienced strategic thinker.

2. Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business.

3. Ability to develop practical, cost effective solutions to complex issues.

4. Experience of dealing with regulatory matters and confident interaction with regulators.

5. Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management.

6. Experience of working within a matrixed environment preferred including reporting internationally.

7. Ability to lead change and contribute to joining up with the other teams within Taiwan.

8. Securities specialist license is required.

9. Experience of local securities firm and familiar the regulatory requirements on retails brokerage is preferred.