Branch Compliance Manager - Retail Banking and Wealth Management

Full Time
Junior (less than 3 years)
English, Cantonese

Job Description

Branch Compliance Manager - Retail Banking and Wealth Management

Location: Asia Pacific-Hong Kong-Kowloon-Tai Kok Tsui

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.
Retail Banking and Wealth Management serves more than 50 million customers worldwide with a complete range of banking and wealth management services to enable them to manage their finances and protect and build their financial futures. It is a global business that brings together management responsibility for Retail Banking, Wealth Management, Insurance and Asset Management with a focus on customer-centric propositions and innovative and efficient distribution channels.
We are currently seeking a high caliber professional to join our team as Branch Compliance Manager.
Principal responsibilities
  • Ensure compliance and operational controls of branches in accordance with regulatory requirements and policies
  • Identify any possible compliance deficiencies related to sales quality and Financial Crime and Compliance, and proactively recommend corrective actions
  • Communicate new regulatory procedures on wealth sales and Group Compliance Policy to frontline in a timely manner
  • Support the training and coaching to branch staff in relation to Anti Money Laundering and Know Your Customer processes and policies
  • Ensure sales quality and Financial Crime and Compliance risk are properly managed at branches
  • Support on Global Standards and compliance related projects and initiatives
  • Work independently and proactively to challenge the financial crime and sales compliance risk with appropriate recommendation of mitigations to Branch Manager or Division Director
  • Drive cultural change from transaction based to customer risk based and wealth risk based identification and mitigation in branch
  • Oversee the financial crime and sales compliance risk across the assigned branch or division
  • Consistently adhere to the external and internal requirements‎, and escalate potential risk timely
  • Review and investigate complaints to ensure proper procedure is followed


  • University degree in an appropriate discipline
  • Solid experience in Retail Banking business, with wealth sales experience preferred
  • Holding Insurance and Investment licenses
  • Familiar with frontline process on Customer Due Diligence and Financial Crime and Compliance is preferred
  • Familiar with wealth product features and sales quality standards, internal and external regulatory requirements, and reporting in accordance with internal guideline and governance requirements is preferred
  • Good interpersonal, influencing and management skills
  • High standard of written and verbal English and Cantonese language skills
  • Proficiency in the use of computer, including Microsoft Word, Excel and PowerPoint, and Chinese typing skills  
You’ll achieve more when you join 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 an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Technical Skills

  • Anti Money Laundering (AML)
  • Compliance
  • Due Diligence
  • Know Your Customer (KYC)
  • Microsoft Excel
  • Microsoft Powerpoint
  • Microsoft Word
  • Sales
  • Training
  • Typing
  • Wealth Management