Associate Director, Trade Investigator, Global Banking and Markets - Regulatory Compliance


Technical Skills

  • Compliance
  • Sales

Job Description

Associate Director, Trade Investigator, Global Banking and Markets - Regulatory Compliance

Location: Asia Pacific-Hong Kong-Hong Kong Island-Central

Some careers have more impact than others.
If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.
As part of Global Risk, 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 a high caliber professional to join our team as Associate Director, Trade Investigator, Global Banking and Markets.
Principal responsibilities
  • Identify potential new forms of staff or counterparty misconduct.
  • In liaison with the Change Team, prioritize the development of the systems, processes, people and data sets needed to identify these new forms of misconduct for their business or asset class.
  • Where automated surveillance has yet to be developed the individual may be required to engage in manual surveillance.
  • Ensure that all alerts are satisfactorily escalated and resolved.
  • Regulators, senior management and the businesses or asset classes may request an investigation into certain practices, businesses, individuals and events.  Where this investigation falls partly or wholly within your remit you will be asked to carry out the necessary work.
  • Foster a close relationship with key front office and support function stakeholders.



  • Compliance monitoring experience and expertise is essential.
  • A sound understanding of local regulation particularly in relation to the rules relevant to trading and sales activities
  • Indepth knowledge of local market abuse regulation and overseas regulations an advantage.
  • Ability to handle escalated issues and take these forward with Senior Management.
  • Ability to support decisions with sound reasoning.
  • Ability to clearly articulate business and regulatory implications of analysis and findings.
  • Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management.
  • Ambition to enhance compliance knowledge and skill set in a rapidly changing and dynamic markets environment.
  • Supervisory skills are advantageous.
  • Sound Product Control background could be an advantage. 
You’ll achieve more when you join HSBC.
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Employment TypeFull-time
Education LevelNon-specified
HSBCPrivate Banking and Wealth Management

1 Queen's Road Central, Central

directions_walk6 mins walk from Central Station