Regulatory Compliance Manager Monitoring and Testing - Regulatory Compliance

Full Time
Tai Kok Tsui
Junior (less than 3 years)

Job Description

Regulatory Compliance Manager Monitoring and Testing - Regulatory Compliance

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

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If you’re looking for a career where you will be respected as an individual and valued for the contributions you make, join HSBC and discover how diversity drives our success.
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 Regulatory Compliance Manager Monitoring and Testing.
Principal responsibilities
  • Perform the activities of Hong Kong Regulatory Compliance for HSBC Operations and Services team and Global Functions
  • Ensure local monitoring activities are in accordance with Global Procedural Standards and conducted as a second line of defense. 
  • Ensure Compliance Monitoring and testing activities provide adequate coverage of the Groups key regulatory risks, liaising with Global Compliance teams
  • Contribute to the preparation of Compliance Risk Assessments, drawing on the experience and knowledge of the Regulatory Compliance Business Compliance team and with the active participation of senior managers in the Business.
  • Proactively assist management in identifying and containing compliance risk. 
  • Contribute to the preparation of the country Compliance Monitoring and Testing Annual Test Plan.
  • Contribute to the provision of education and support to Compliance Monitoring and Testing specialists on risk assessments, planning and conducting reviews. 
  • Prepare reports to inform key stakeholders of the outcome of monitoring and review work, including rating findings and assigning owners or actions.
  • Assist with liaison with Group Audit, Operational Risk Internal Control and Business Risk Control Managers in relation to Compliance Monitoring matters.


  • Proven relevant business, audit experience or equivalent.
  • Strong risk assessment, control and testing skills and preferably audit related experience.
  • Audit related certification preferred
  • Relevant experience of a range of business activities, product lines and regulatory topics.
  • Proven organizational, planning, interpersonal, analytical, problem solving, decision making, and team work skills.
  • Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
  • Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments on timely basis.
  • Ability to work with and also to lead different cultural groups and build consensus.   
The chosen candidate for this role will be required to undergo enhanced vetting. Subject to local laws, this will require the individual to satisfactorily pass a series of additional checks as part of the recruitment process and on an ongoing basis, if appointed to the role. HSBC Group reserves its position with regard to any steps which it may take in relation to any material adverse findings which arise either when the checks are originally completed, and/or if relevant, on an ongoing basis. For more information about the enhanced vetting for this role please contact the recruiter for this role.
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Technical Skills

  • Audit
  • Compliance
  • Internal Control
  • Operational Risk
  • Risk Assessment