Senior Regulatory Compliance Assurance Manager - Regulatory Compliance


Technical Skills

  • Audit
  • Compliance
  • Operational Risk

Job Description

Senior Regulatory Compliance Assurance Manager - Regulatory Compliance

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

Some careers open more doors than others.
If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities.
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 Regulatory Compliance Assurance Manager.
Principal responsibilities
  • To carry out reviews in accordance with the planned review schedule;
  • To provide Regulatory Compliance subject matter expertise and support for the Asia Pacific Regulatory Compliance Assurance Team, working with the team to identify adverse trends, poor controls and systemic risks.
  • Draft and issue reports of each functional review
  • Record and track the implementation of review recommendations
  • Using intelligence gained through assurance work, use creativity and innovation to propose new or revised policies or standards and help provide solutions for complex global issues or initiatives in an ever changing and high risk environment.
  • Provide support with oversight of the monitoring and implementation of global Regulatory Compliance controls, ensuring consistency and integration with the Operational Risk framework, where appropriate.


  • Seasoned Compliance professional, preferably with experience in an assurance and monitoring role.
  • Excellent communication skills both oral and written
  • Extensive knowledge of conduct of business risk
  • Background in controls and control testing, either in audit or other control functions.
  • Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines
  • Tenacity to follow issues through to resolution.
  • Team player who focuses on delivery and continuous improvement.
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.
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