岗位职责:
Advisory support
1. Responsible for monitoring and advising regulatory/compliance matters that may have an impact on the GPB and Wealth businesses in ASP and HK. Require strong partnership with their respective onshore business and functional teams, interface with both RC teams and has responsibility to assist onshore RC team to provide policy advice related to business products, services and clients in Hong Kong and ASP.
2. Support and coordinate with respective onshore RC teams to ensure compliance with all relevant external regulatory requirements and internal codes and policies and good market practice, while ensuring Global Standards.
3. Provide timely and reliable regulatory advice to assist onshore business and functional RC teams to effectively manage regulatory risk. Manage multiple enquiries from different departments at any one time, and ability to deliver under considerable deadline pressure.
Data Governance
1. Extract MIs and coordinate with the stakeholders to prepare regular reporting. Support onshore RC with Risk & Control Assessment, Issue and Action Management, Control and Monitoring testing.
2. Review with the stakeholders on inconsistent input or overdue issues. Respond to queries from regional and global teams regarding risks and issues.
Functional management
1. Stay at the forefront of regulatory changes to ensure proactive communication with business teams. Handling of licensing and administrative enquiries and validation. Develop jointly with onshore RC team on the compliance projects, as well as the respective implementation control.
2. Regular communication with stakeholders in the line of business and global function teams. Support the GSC team lead to discharge his / her role and day to day activities. Principal Accountabilities: Key activities and decision making areas
Impact on the Business / Function
1. Promote and sustain a risk-management culture in alignment with Regulatory Compliance's role in GSC as the second line of defense, provide advice and guidance which enables the onshore Business RC to manage regulatory risk effectively, and to escalate more complex queries in a timely and seamless manner.
2. Proactively identify and support in the management of significant new or emerging risks, and their potential impact on HSBC, track the resolution of subsequent risk management actions as appropriate. Defining and adopting best practice through collaborating with our key business partners to enable the highest operational standards.
Customers / Stakeholders:
1. Work / Liaison closely with relevant stakeholders in their respective onshore Businesses and Functional teams to provide expertise and support on all Regulatory Compliance related matters. Build strong relationships, adopting a joined up approach, to execute processes at pace and with minimum conflict.
2. Ensure that the business operates using accepted industry – standard methodologies, practices, processes and principles, ensure the appropriate timely and relevant risk information is provided to onshore Businesses and Functional teams.
Leadership & Teamwork:
1. A strong team player to collaborate with RC onshore teams, business partners and Global Functions areas to ensure commonality and consistency. Share best practice with onshore RC teams and other ASP countries. Drive a high performance culture through delivering standards, collaboration and effective people interaction
2. Agree responsibilities within formal and informal network, providing context, direction and confidence to deliver results. Maintain and develop positive and professional working relationships with business units at the Regional and Country levels. Support and encourage constructive teamwork by demonstrating collaboration and matrix management in action, share insights on repeatable business queries and escalate complex queries in a timely and seamless manner.
Operational Effectiveness & Control:
1. Resolve any identified issues promptly, and escalate concerns as appropriate to ensure timely awareness of any material concerns. Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy. Consistently apply policy and governance frameworks, procedures, practices and standards to ensure quality, effective regulatory compliance advice and guidance;
2. Support the continuing development, implementation and improvement of the processes, capabilities, capacity and infrastructure needed to effectively manage RC risks in a changing environment. Maintain awareness of operational risk within assigned portfolio and minimize the likelihood of it occurring.
Management of Risk (Operational Risk / FIM requirements):
1. Continuously reassessing risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
2. Ensuring all actions take account of the likelihood of operational risk occurring, addressing areas of concern in conjunction with relevant business and functional teams. Ensuring the fair treatment of our customers is at the heart of everything we do, both personally and as an organization.
Observation of Internal Controls (Compliance Policy / FIM requirements):
1. Adhere to and be able to demonstrate adherence to internal controls. Adherence to all relevant procedures, keeping appropriate records and the timely implementation of internal and external audit points, including issues raised by external regulators.
2. Implement the Group compliance policy by containing compliance risk in liaison with the relevant Compliance Department. The term 'compliance' embraces all relevant financial services laws, rules and codes with which the business has to comply.
3. Liaising with 1LOD (*** Line of Defence) and 2LOD (Second Line of Defence) stakeholders about new business initiatives at the earliest opportunity, ensuring adequate resources are in place and training is provided, fostering a compliance culture and optimising relations with regulators.
Local Job Requirements:
1. Make decisions appropriate to their areas of responsibility and work openly and collaboratively with their line management and team colleagues within the GSC and with key stakeholder teams (internal and external to RC) at regional and country level.
任职要求:
1. 2 - 4 years of experience working with either retail, wealth, private bank products and services. Degree or equivalent professional qualification preferably in Law, Accounting, Management or Finance, or similar fields. Previous background of working in a matrix organizational structure
2. Excellent written and verbal communication skills in English and Chinese. Previous background of working in a matrix organizational structure.
3. Knowledge in HKMA/ SFC requirements on disclosures (e.g. product risks, monetary benefits) a plus but it is not necessarily required. Good understanding in risk management or regulatory compliance. Good technical knowledge in relation to RC systems and processes.
4. Strong analytical skills and the ability to support decisions with sound reasoning and clearly articulated justifications. Strong collaboration, communication and stakeholder management skills, with the ability to think laterally and solve problems,
5. Working in a major financial institution, within a matrix environment, including reporting internationally. Able to work independently, proactively and under pressure against multiple deadlines. Good relationship management with a focus on stakeholders requirement. Able to work with individuals at different levels.
6. High level of professional and personal integrity. Committed to personal and professional development. Delivery-focused with attention to detail and ensure tasks are completed on time and to the required levels of quality.
7. Strong interpersonal skills, coupled with the ability to succeed within a matrix management structure and build and maintain team relationships. Ability to work with minimal supervision and to contribute to a larger team; and a flexible approach to working hours and responsibilities.
8. Self-motivation, and a proven rapid learning capability in a changing environment are essential. Drive and tenacity to ensure change is effectively implemented in a matrix environment.
福利待遇
- 具竞争力的薪酬：基本工资+绩效奖金+轮班补贴+早晚班交通津贴；
- 健全福利保障：五险一金+补充性商业医疗保险+免费年度体检；
- 畅享10+天假期：除享有国家法定节假日外，还拥有至少10天带薪年假、12天带薪病假、1天生日假、婚假、产检假、产假以及陪产假、哺乳假等，助您达到工作生活的平衡；
- 弹性福利制度：年假可买卖，商业医疗保险套餐可升级，您还可申请旅游补贴、个人进修补助、运动健身补贴等，满足个性化福利需求；
- 人性化工作环境：使用公司的员工餐厅、咖啡室、休息室、娱乐室等，进行劳逸结合；
- 多元化员工活动：运动会、团建、年会等精彩活动给您平台，任您施展才华。
培训与发展
- 广阔的职业发展平台：遍及全球的集团网络，提供扩展人脉及跨文化交流的机会，您还可申请不同国家及地区的长短期职位，不断挑战自我；
- 系统性人才培育及发展：配备职业导师，为您提供清晰的职业规划指导，充分挖掘横向及纵向的发展潜力；
- 完善的专业培训体系：入职即可享带薪培训，多元化的培训机会，还有资源及教育援助，帮您逐步实现职业目标。