SVP Regulatory Affairs, Regulatory Compliance DBS and GF 法令遵循處 數位化業務服務、環球功能部門及主管機關事務 資深副總裁

Job description

Job Advert Details
The Risk & Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage as “Risk Owners” the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Risk & Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework.

Report to: SVP and Head of Regulatory Affairs, Regulatory Compliance, DBS and Functions
People responsibility: No

Job Contents
1. Manage regulatory compliance risk and relationship with DBS & GFs;
2. Provide compliance advice to DBS & GFs, handle regulatory inquiries from regulatory authorities, and focus on ensuring best practice across all GB &GFs , compliance against local regulations and other compliance topics;
3. Deliver effective advice on regulatory and Group/Region Compliance requirements in response to queries raised by the assigned functions;
4. Assist DBS & GFs in contacting local regulators for any application/clarifications and ensure the process adopted are aligned with regulators’ expectation;
5. Assist management in resolving compliance relevant issues arose in DBS &GFs; and
6. Deliver compliance training as needed to ensure compliance requirements are well followed and maintain awareness of regulatory changes affecting GFs to develop appropriate responses to remain compliant.

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Information

1. Experience across all areas of Compliance risks in financial services industry, and an experienced strategic thinker.

2. Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for risk management and policy in the language of business

3. Ability to develop practical, cost effective solutions to complex issues.

4. Experience of dealing with regulatory matters and confident interaction with regulators.

5. Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management.

6. Experience of working within a matrixed environment preferred including reporting internationally.

7. Meet one of the following qualification requirements:

金融控股公司及銀行業總機構法令遵循單位主管及所屬人員、國內外營業單位、資訊單位、財務保管

單位及其他管理單位之法令遵循主管應具下列資格條件之一：
1. 曾任金融機構法令遵循人員或主管，合計滿五年者。
2. 參加主管機關認定機構所舉辦三十小時以上課程，並經考試及格且取得結業證書。

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