- Internal Control
- Wealth Management
Senior Research Compliance Manager - Regulatory Compliance
Location: Asia Pacific-Hong Kong-Hong Kong Island-Central
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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 Research Compliance Manager.
Proactive approach with respect to the identification and control of research materials and market commentary around the Group.
Liaise with business and Compliance stakeholders within Retail Banking and Wealth Management, Private Banking, Asset Management and Commercial Banking.
Provide day to day and project management support on compliance related matters and projects to ensure both progress toward a common goal in alignment with agreed timelines and firm standards.
Work in close alignment with Head of Central Research Compliance, and multi Regional counterparts, to deliver the Annual Research Compliance plan objectives and priorities
Maintains a proper level of awareness of regulatory changes impacting the business and to ensure appropriate communication and development of policies, procedures and best practices
Maintains a current knowledge of compliance related industry initiatives pertaining to areas of responsibility and best practices
Coordinates regulatory matters, including examinations, inquiries and investigations as it relates to research.
Manages and assists in drafting, editing and maintaining written policies, procedures and best practices.
Experience dealing with core Research Compliance activities including standards for content, analyst conduct and an understanding of conflicts of interest surrounding the interaction of different businesses with research analysts.
Understanding of the structure of research and experience with reviewing research reports for conflict of interest.
Possesses strong leadership qualities and is a strategic thinker.
Excellent communication and inter personal skills, with experience dealing with employees at all levels and across country or regional borders, including the capacity to articulate the case for policy changes.
Experience dealing with regulatory and internal control matters.
Experience interpreting and analyzing a large volume of information or data and providing a succinct summary for management.
Ability to lead change and influence Compliance colleagues to embrace new approaches for the production and review of research and other written materials.
You’ll achieve more when you join HSBC.
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