VP Regulatory Compliance, WPB 法令遵循處 法令遵循諮詢部(個人消費金融) 副總裁

Job description

Job Advert Details


Role Purpose:

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

Job Content

1.      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.

2.      Assist Head of Regulatory Compliance, WPB to oversee the critical 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.

3.      Assist Head of Regulatory Compliance, WPB to ensure the proactive approach is taken to identify Regulatory Compliance risks change and potential impacts on business model in Taiwan.

4.      Provide advisory services to business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.

5.      The role is to assist Head of Regulatory Compliance, WPB and other managers within the LoBs in achieving a balance between the demands of regulators, external bodies and governmental initiatives, LoBs and ultimately the Group’s shareholders and customers; being aware of the political, management, regulatory and reputational implications of a particular decision and courses of action.

6.      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

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：

一、曾任金融機構法令遵循人員或主管，合計滿五年者。

二、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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