Associate Director Fixed Income, Currencies and Commodities - Compliance
March 5, 2020
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Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.
We are currently seeking a high caliber professional to join our team as Associate Director Fixed Income, Currencies and Commodities – Compliance
Supports line manager and the Head of Regulatory Compliance, Global Markets ASP in independently providing Regulatory Compliance advice and challenge to the Fixed Income, Currencies and Commodities Trading and Structuring businesses.
The role holder will assist the RC Heads in the development, deployment and continued oversight of globally consistent Regulatory Compliance policy for the Fixed Income, Currencies and Commodities business and ensure that it understands and adheres to external regulatory requirements, codes of conduct and internal policies.
Work directly with the Fixed Income, Currencies and Commodities business to make sure that as a business any new products or services are aligned to the HSBC Global Standards framework and meet all the necessary Regulatory Compliance requirements.
Providing guidance on policies and standards to cover Regulatory Compliance issues
Advising line management of the impact on their businesses and functions of applicable external or internal regulations
Supporting line management in discharging their responsibilities to comply with applicable regulations by reviewing new products or activities for compliance implications, identifying potential rule breaches, enforcing changes to relevant manuals to reflect regulatory requirements, monitoring the businesses for adherence to the regulations and providing input to audit and training programmes
Assisting line management in the conduct of crisis management including ad hoc investigations into rule breaches
Providing an independent reporting mechanism for all executive
Fostering good relations with the regulators
Strong knowledge of Fixed Income, Currencies and Commodities products, trading practices and related regulatory and conduct risks
Good knowledge of Hong Kong and international regulations related to Global Markets
Significant years of experience and relevant industry knowledge. Potential candidates with strong skills set but with less years' of experience would also be considered
Strong analytical and problem solving skills
Strong communication and interpersonal skills
Strong team player
Fluent in English. Fluency in Cantonese and Mandarin is preferred
Experience of working for a large international institution preferred
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