Assistant Branch Compliance Manager Shenzhen HSBC China : 0000DA5S
Compliance (CMP)
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.

We are currently seeking an experienced professional to join our team.

In this role, you will:
1. Greater Bay Area (GBA)
Act as the coordinator of GBA issues in GD region;
Coordinate internal meetings related to GBA;
Collect and analyze GBA policies update;
Work with LOBs to understand business initiatives in GBA;
Further support business growth from compliance perspective under the guidance of RCM and CNQ RC.

2. Advisory
Pre-work communication with LOBs;
Perform regulatory search;
Perform compliance risk analysis;
Escalate concerns and seek comment from CNQ/local regulators if needed;
Provide compliance comment to business line timely;
Record the advisory case with RC standards and file the record;
Follow-up the implementation status of the case;
Prepare and input Consilium for material advisory cases.

3. Training
Select training topics and comb out relevant regulations;
Prepare Training PPT for CMP Weekly Training;
Arrangement for training and keeping record;
Evaluate Training Needs and Topics design.

4. Local Regulatory Intelligence
Collect local regulator's comments or local market's common practices for specific case raised by CNQ or local management;
Feedback to CNQ /local management timely.

5. Business Lobbying
Pre-work communication with LOBs and CNQ RCs;
Pre-filing Communication with local regulators;
Review of related materials/ filing package;
Arrangement for Seniors/Business visit;
Follow-up Regulators' comment;
Feed-back to respective LOBs/CNQ RC teams
Follow-up Internal Implementation

6. Procedure Review
Pre-comment communication with LOBs
Regulatory Search and CMP Risk Analysis;
Communication with CNQ/Local Regulators;
Provide CMP Review Comment.

7. Free Trade Zone (FTZ)
Collect and analyze the regulatory development applicable to FTZ;
Attend the internal FTZ meetings;
Identify and manage regulatory compliance risks emerging from FTZ under the guidance of RCM and CNQ RC.

8. Branch Compliance Review
Select the branch review topic based on the recent important and emerging risk;
Prepare the GD region Branch CMP review Program;
Arrange the training and QA session to the GD region staff;
Send out the request to SZN LOBs, asking materials for checking;
Perform checking, interview and then complete the checking point;
Identify any findings and communicate with LOBs;
Track the rectification status and timely communicate with local management;
Send the final checking result to branch compliance review working group within deadline;
Collect and perform assessment on the GD region branch compliance review result.

9. Support management work
职位要求：
To be successful in the role, you should meet the following requirements:

?(1) University degree or above in law, accounting or any related discipline

(2) Minimum 4 years' relevant experience in banking / financial industry, preferably gained in compliance area

(3) Knowledge of the rules and regulations from CBIRC, PBOC and SAFE

(4) Familiar with banking operations and controls as well as different products and services offered by the bank

(5) Self-motivated, independent with strong analytical abilities and good judgment, willing to work in diversified working environment & location

(6) Good planning, interpersonal and communication skills to work with internal and external parties
You’ll achieve more when you join HSBC.

www.hsbc.com.cn/careers
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 and inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website. HSBCAXS/JL/*

Issued by HSBC Bank (China) Company Limited