Head of Conduct, Sales Suitability and Regulatory Risk Asia Pacific

Found in: Talent HK C2 - 1 week ago

Hong Kong, Hong Kong SAR China HSBC Full time

Some careers open more doors than others.

If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

Wealth and Personal Banking (WPB) helps deliver on HSBC’s purpose of opening up a world of opportunity by providing our customers with borderless banking and world-class wealth management through best-in-class, mobile-first capabilities and exceptional people. Our international network and breadth of expertise enable us to support individuals, families, business owners, investors and entrepreneurs. Wealth and Personal Banking has four key business areas responsible for efficiently bringing the best of HSBC to our clients through a broad and relevant suite of wealth and retail banking capabilities: Asset Management, Global Private Banking & Wealth, HSBC Life, Retail Banking & Strategy and COO & Digital Transformation.

We are currently seeking a high calibre professional to join our team as a Head of Conduct, Sales Suitability and Regulatory Risk Asia Pacific.

Principal Responsibilities

The purpose of this role is to oversee the implementation of controls associated with Regulatory Risk, Conduct Risk and Sales Suitability across all countries in Asia Pacific Ensure that all ASP adhere to the Global Procedures associated with Regulatory Risk, including subjects such as Anti Bribery & Corruption, Conflicts of Interest, Personal Account Dealing and Volcker Contribute to the maintenance and reinforcement of the SQ (Sales Quality) and Conduct frameworks, ensuring it is followed by WPB across ASP Act as a subject matter expert of Conduct and the SQ Operating Procedures, advising countries on the existing requirements and highlighting issues for escalation when required Support the timely production of management information at both country and regional level Support the markets in rolling out process enhancements associated with Regulatory themes Provide oversight and timely escalation if needed on SQ, Regulatory Risk and Conduct Ensure all countries are familiar with the framework associated with Regulatory Risk, and adequate controls are in place to address the risk Ensure that market SQ teams are clear about the minimum standards required to carry out their role Monitor Regulatory, Conduct and SQ issues, produce and review MI reporting, ensuring they are fit for purpose to monitor performance towards the Conduct Objectives and sales suitability Provide subject matter expertise on Conduct and Sales Quality matters, liaising with the relevant stakeholders as required Drive the deployment and ongoing improvement of Conduct Analytics (CA) across markets Define and drive the conduct agenda in supporting markets in cultivate the conduct awareness and compliance Develop and maintain good relationship with stakeholders at market, regional and global level Facilitate the adherence to the framework by engaging with the relevant stakeholders and providing subject matter expertise as required Support in the delivery of global projects and change initiatives to countries within agreed timeline The job-holder will be required to provide advice in a wide range of scenarios associated with Regulatory Risk, Conduct and SQ. Therefore, he/she must have a solid understanding of risk and controls, must be comfortable dealing with ambiguity and taking pragmatic decision when making judgement calls Rapid change in regulatory requirements and new sales process/products requires adapting and acting quickly Resources in market-level SQ teams are limited, thus ASP SQ provides coaching and oversight to ensure market SQ teams have sound technical competence and excellent judgement calls to handle SQ issues Need to cultivate risk control and ownership disciplines within WPB teams. Strong interpersonal and communication skills and the ability to influence to work with various internal partners, WPB teams and different departments towards common goals Needs to stand firm in the face of strong business or market pressure to ensure the highest control standards are maintained Leading transformational change ( CA, Conduct initiatives) and embedding this into an already complex business Requirements Bachelor degree in banking, finance, accountancy or in related field. Relevant advanced degree or professional qualification is an advantage Knowledge on risk roles such as audit experience/risk management would be preferred, but not mandatory Technical knowledge of risk regulatory requirement, WPB product knowledge and sales process would be preferred, but not mandatory Good analytical skills with ability to understand and interpret complex issues/requirements and translate into concise business requirements/ recommendations, preferably with previous experience on data analytics Excellent written and verbal communication skills Attention to detail, with ability to deliver good quality output within a tight timeframe Forward thinking, business oriented and able to effectively build and implement strategies Strong leadership skill with demonstrated ability to lead and drives for the right actions at all levels, internally and externally Solid management ability to co-ordinate and direct effort within a matrix organisation Well-organized, passionate and highly responsible

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