Regulatory Compliance Officer, Alternative Investments

Job description

The Regulatory Compliance Officer, Alternative Investments role is based within 0.
 
The role of the Regulatory Compliance Officer, Alternative Investments is to:

Provide pro-active Compliance support to HSBC Alternative Investments Limited (‘HAIL’) and the wider Alternative Investment Group, as required. 
Ensure the provision of quality, timely and accurate guidance on established internal guidelines and external regulations. 
Ensure that HAIL develops and maintains the highest compliance standards by following both the letter and the spirit of the relevant regulatory requirements, Group Standards Manual, Risk FIM, Compliance Officers Handbook and the Private Bank Money Laundering Prevention Policies.
Your responsibilities will include:

Serve as a key point of contact for the alternative investments business in relation to compliance matters pertaining to established internal guidelines and external regulations, including interaction and support to the wider Alternative Investments Group, as required.
Actively review business processes and supporting systems and controls within the business and drive through amendments as required.
Ensure that HAIL develops and maintains the highest compliance standards by following both the letter and spirit of the relevant regulatory requirements, Group Standards Manual, Global Risk FIM, Global Private Banking FIM and Compliance Officers Handbook.
Support the Head of Regulatory Compliance, HAIL in the production of periodic reporting and the delivery of the Regulatory Compliance Plan.
Provide clear, concise, consistent, constructive and customer conscious advice to the business with a particular focus on conduct management.
Keep management informed of regulatory changes and assess the impact on HAIL’s business. Ensure appropriate controls are in place and proper reviews are conducted to maintain appropriate standards.

Desired profile

Knowledge & Experience / Qualifications

Significant experience in UK compliance.  A background in alternative investments is desirable.
Thorough understanding of UK regulatory system including detailed knowledge of FCA’s rules and the impact EU legislation has.
Practical knowledge and experience in relation to funds of hedge funds, private equity and real estate structures and the ability to analyse, understand and provide timely compliance advice to the business in relation to these asset classes.
Understanding of UCITS and the roles and responsibilities arising.
Confidence to interact with and influence senior management within HAIL.
Good oral and written communication skills.
Commercially aware, solutions focused.
Ability to apply technical knowledge to enhance the commercial success of the bank as well as to educate the business appropriately.
Possess the ability and drive to raise standards and make an impact on HAIL’s culture
The base location for this role is 78 St James's Street, London.
 
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.
 
Key search words: Regulatory Compliance

About HSBC

HSBC est l’une des plus grandes banques internationales avec une présence dans plus de 85 pays dans le monde. Elle a été créée en 1865 sous le nom de « The Hongkong and Shanghai Banking Corporation », et son siège social est basé à Londres. En France, HSBC totalise environ 400 agences et près de 10 000 salariés, avec une spécialisation dans plusieurs activités : une banque pour les particuliers, spécialisées notamment dans la gestion de patrimoine, une banque privée (gestion de fortune), une banque d’entreprises, qui s’appuie sur le réseau de l’ensemble du groupe HSBC dans le monde, et une banque de financement, d’investissement et de marchés. En 2012, HSBC France a réalisé un résultat avant impôt de 450 millions d’euros.