VP Compliance Advisory, CMB & GBM 法令遵循諮詢部 副總裁

Job description

Job Advert Details


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.

The role holder is the Regulatory Compliance executive responsible for ensuring that HSBC’s operations in Taiwan are effective in identifying, managing and mitigating Regulatory Compliance and ensure timely advice is provided to the covered wholesale business.

People Responsibility: N

Report to: SVP and Head of Regulatory Compliance Advisory (CMB & GBM)

Job Content: 

·  Primarily to support Business Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices, with primary focus on Business area.
·  Assist SVP and Head of Regulatory Compliance Advisory to oversee the critical Regulatory Compliance policies and systems that impact Taiwan business and ensure that the Group’s exposure to Regulatory Compliance  risks is managed in a commercially sensitive, practical and cost effective manner.
·  Assist SVP and Head of Regulatory Compliance Advisory to ensure the proactive approach is taken to identify Regulatory Compliance risks change and potential impacts on business model in Taiwan.
·  Provide advisory services to business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.
·  Assist SVP and Head of Regulatory Compliance Advisory to be responsible for the second line governance of Regulatory Compliance risks exposures, providing analysis, reporting and governance to Taiwan that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure.
·  To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
·  Assist the senior management of Taiwan, the leadership of the Compliance function, and other colleagues on all material compliance related matters.
·  Assist SVP and Head of Regulatory Compliance Advisory to represent the Compliance agenda up to the highest levels of country governance, including being an attendee (as required) at the covered business forums in Taiwan to report on progress and issues in relation to the operational effectiveness of HSBC’s policies, processes, systems and controls in countering Regulatory Compliance risks.

Information

·  University graduate or above
·  With proven and broad business experience in the banking industry
·  Strong English spoken and written communication skills
·  Experience across all areas of Compliance risks in financial services industry, and an experienced strategic thinker.
·  Detailed and extensive knowledge of the HSBC Group structure, its business and personnel, and HSBC’s corporate culture.
·  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
·  Ability to develop practical, cost effective solutions to complex issues.
·  Experience in Risk and Compliance Management together with business management.
·  Experience of dealing with regulatory matters and confident interaction with regulators.
·  Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management.
·  Experience of working within a matrixed environment preferred including reporting internationally.
·  Ability to lead change and contribute to joining up with the other teams within Taiwan.
·  License 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。