Senior Monitoring and Testing Manager Asset Management and Markets - Regulatory Compliance


Technical Skills

  • Asset Allocation
  • Audit
  • Budgets
  • Capacity Planning
  • Compliance
  • Project Management
  • Risk Assessment

Job Description

Senior Monitoring and Testing Manager Asset Management and Markets - Regulatory Compliance

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

Some careers shine brighter than others
If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential.
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 Senior Monitoring and Testing Manager Asset Management and Markets.
Principal responsibilities
  • Lead or oversee cross business programs, projects and initiatives related to Compliance Testing, management strategy and project management.
  • Coordinate the governance of the Plan, in conjunction with the Head of Monitoring and Testing, Regulatory Compliance.
  • Keep Compliance, Business and Functional management informed of significant matters and oversee a governance process designed to communicate timely and relevant information to Senior Management as well as Local and Regional Management, through both established dashboards and other vehicles.
  • Lead or oversee issue resolution, to include the initiation, development and delivery of products, programs and strategies responsive to the issues.
  • Participate in the oversight and enhancement of the Compliance Testing infrastructure in support of reporting, capacity planning, plan development, administration and analysis of testing outcomes across testing areas.
  • Coordinate organisational structure, budget and other administrative functions related to the Hong Kong and Regional Compliance Monitoring and Testing organization.


  • Strong proven record of relevant business, audit experience or equivalent.
  • Strong risk assessment, control and testing skills and preferably audit related experience.
  • Audit related certification highly preferred
  • Relevant experience of a range of business activities, product lines and regulatory topics, in particular, Asset Management and Markets.
  • Proven organizational, planning, interpersonal, analytical, problem-solving, decision making, and team work skills.
  • Ability to work with and also to lead different cultural groups and build consensus.
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