Assistant Manager, Markets Regulatory Compliance, Credit Advisory

  • London
  • To be negotiated
  • Finance / Management Control

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Description

Website: http://www.hsbc.fr

Assistant Manager, Markets Regulatory Compliance, Credit Advisory

The Assistant Manager, Markets Regulatory Compliance, Credit Advisory role is based within Risk Management.

Global Markets is currently going through an unprecedented level of regulatory change and faces increasing EU and US requirements with extra territorial reach and regulatory scrutiny cross border. The Markets Regulatory Compliance team works closely with the business to provide technical compliance expertise and advisory support. This includes provision of compliance advice to the business on interpretation, implementation and risk-management.


Your responsibilities will include:
· Facilitate the management of compliance risk by those responsible for the conduct of the Group's business in Global Markets.
· Set policies and standards to cover compliance issues.
· Advise line management of the impact on the business of applicable laws, rules and regulations
· Conduct investigative work on specific issues, incidents or regulatory concerns as they arise as an integral element of a forward looking risk management framework
· Assist line management in the conduct of crisis management.
· Assist line management in fostering good relations with regulators.
· Escalate all material and significant breaches or potential breaches of regulations as soon as practicable to Markets Regulatory Compliance and business management.
· Global Markets Fixed Income business with primary focus on the Credit sales, trading, structuring and distribution desks.
· Further focus required also for other Global Market businesses as demand or need arises or as directed by the line manager or the Head of Markets Regulatory Compliance from time to time.
· Internal control groups including but not limited to Compliance Monitoring and Testing, Compliance Surveillance, Control Room, Operational Risk and Audit.
· Work collaboratively across peer group and organisation.
· Collaborate and foster good relations with the business, Compliance teams and departments.
· Must have appropriate interpersonal skills to be able to integrate into an existing close team.
· Must have a strong personality to be able to cope with the demands of facing the business in challenging situations
· Must be able and willing to identify and undertake the necessary actions to provide solutions needed to discharge effective compliance advice to the Fixed Income businesses
· Advise the business on the introduction of new products and services.
· Compliance coverage, support for the business line will reduce compliance, business and operational risk for the business area.
· Assist the business with the preparation of manuals and procedures (regulatory, compliance input only) as required.
· Identification and delivery of compliance training needs for the business.
· Participating in internal and external investigations into compliance related matters.
Qualifications :

The ideal candidate for this role will have:
·  Relevant product knowledge including knowledge of Fixed Income products and product lines, preferably including experience of Credit products
·  Experience working in relevant market, context, i.e. Sales and Trading advisory compliance
·  An open, flexible and supportive approach to change and innovation
·  Consistently achieved objectives set for them and taken action to improve their own performance
·  Self-awareness with confidence to work independently and take responsibility for own development
·  Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered
·  Contributed productively to team objectives, sometimes supporting and sometimes leading activities to achieve shared goals
·  A comprehensive understanding of risk management and proven experience of ensuring own, others' compliance with relevant regulatory processes

In addition to the details listed above, the ideal candidate will have:
·  Investigative and regulatory skills to undertake deep-dive reviews of specific business activities and conduct
·  Ambition to enhance compliance knowledge and skills in a rapidly changing and dynamic markets environment.
·  Willingness to embrace advisory compliance role challenges
·  Good report writing skills.
·  Sound judgement
·  Graduate preferred
·  Knowledge of jurisdiction rules (USA, HK and NY) in relation to sales, trading and distribution, in particular, but not limited to conduct of business rules and regulatory rule and guidance relating to distribution of financial products and instruments.

The base location for this role is 8 Canada Square, London.

Within HSBC certain roles are designated as Enhanced Vetting Roles. For these roles, all internal and external applicants are required (subject to local laws), to pass satisfactorily a series of additional checks both as part of the application process and, if successfully recruited into the Enhanced Vetting role, on an on-going basis. The 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 first carried out as part of this recruitment exercise, and/or if relevant, on an on-going basis.
This role has been designated as a Enhanced Vetting Role.

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.
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