Manager, Compliance Advisory, Asset Management

HSBC

Guangzhou, Guangdong
Contract
Full-time

1 month ago

Job descriptionSome careers have more impact than others.If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions.We are currently seeking an experienced professional to join our team in the role of Manager, Compliance Advisory, Asset Management.Principal responsibilities

The role is an extension of the Asset Management Compliance Advisory team in Hong Kong and will assist the team in the deployment and ongoing adherence to globally consistent Compliance policy for HSBC Global Asset Management (Hong Kong) Limited (“AMHK”). It will provide ongoing advisory and monitoring support to ensure that AMHK develop and maintain the highest Compliance standards by following both the letter and the spirit of the relevant regulatory requirements, Group Standards Manual and the Compliance FIMs
Provide day-to-day compliance advice to AMHK business, including regulatory advice on AMHK licensing matters, cross-border business activities, marketing materials, and other applicable regulatory requirements as assigned from time to time.
Assist in providing oversight and challenge to AMHK business, including risk and control assessments review, oversight and advisory as risk steward of AMHK business, for mitigating compliance and reputational risks associated with AMHK business
Provide support in developing and reviewing compliance policies and procedures to ensure it is up to date to meet regulatory requirements
Provide support in AMHK’s compliance monitoring program and quality assurance review to ensure compliance with regulations applicable to AMHK’s business including Securities and Futures Ordinance, the SFC Fund Manager Code of Conduct, SFC Code of Conduct for licensed person and Code for Unit Trusts and Mutual Funds
Assist with ongoing compliance advisory and monitoring on personal account dealing
Review compliance monitoring alert such as trade surveillance and electronic surveillance to ensure regulatory and internal requirements are complied with and escalate exceptions, where required
Assist in preparation of periodic or ad-hoc internal reporting requests from Group Compliance and Asset Management Compliance within required timeline
Providing regular or ad-hoc in-house compliance training
Enhance compliance culture and standards and raise awareness of regulatory requirements
Undertake ad hoc tasks for the AMHK Compliance Advisory team as assigned from time to time
For the purpose of this Job Profile, AMHK means AMHK and its affiliates management companies including HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management Holdings (Bahamas) Limited.

Requirements

Graduate in Business Administration, Finance, Law of equivalent professional qualification
Minimum 4 to 6 years work experience in roles relating to compliance, risk, audit or control.
Fluent in English, Cantonese and Mandarin, and proficient in both English and Chinese.
Strong written and verbal communication skills with attention to detail.
Good analysis, interpretation skill.
Robust, accountable and good team player.

Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.Due to the urgent hiring need, candidates with immediate right to work locally and no relocation need will be prioritised.HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

HSBC

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