Associate Director Non Financial Risk, Markets

The HK Securities Services Operations NFR role will be responsible to support and enable the HTHK Manager In Charge (MIC) for Operations to fulfil their HK regulatory oversight obligations under the SFC RA13 Trustee Code covering HK Custody, fund Administration and Transfer Agency functions. Core activities include the provision of independent governance and oversight for the operations functions detailed. This will include review and evidence of incident event documentation and root cause, independent control assessment, review and validation of KRI. Monitor and evidence the implementation of management action plans to ensure timely remediation and enhancements are incorporated in the control environment. We are currently seeking a high calibre professional to join our team as a Associate Director Non Financial Risk, Markets & Securities Services. In this role you will Support and enable the HTHK Manager In Charge (MIC) for Operations to fulfil and discharge their HK regulatory oversight obligations under SFC RA13 Trustee Code covering Custody, fund Administration and Transfer Agency functions. To create and maintain appropriate independent governance, oversight and evidence to demonstrate management of a robust and effective control framework across the defined functions. Working within this governance and oversight framework, the role holder will enable and support the MIC fulfil and discharge their regulatory obligation to provide clear documentation and evidence of current and emerging risks across the defined in scope functions. Partnering closely with the business and trustee, they will ensure compliance to the MIC regulatory requirements. Work closely with the HTHK MIC for Operations and colleagues across SSV and MSS Ops NFR teams to maintain an effective governance and oversight function to support and fulfil the MIC Operations regulatory obligations and requirements. Engage and connect with the respective business and operations teams, understand the challenges across these functions, identify and make recommendation for improvements to the process workflow, to ensure a standard and sustainable operating model. They will identify areas to strengthen the front to back process workflow and end to end control environment in line with market, client and regulatory expectations and requirements. Specifically, the role holder will lead the independent controls review for both current BAU operations and key strategic change within the defined scope of functions, to ensure the optimum control design is achieved and transformation risk is negated. Proactively engage with the 2LoD and 3LoD teams, where appropriate, acting as the key interface to HTHK Trustee and support MIC for Operations to fulfil and discharge their obligations under the SFC RA13 Trustee Code. Influence senior stakeholders and challenge policies and processes within the defined scope line is critical for this role, along with robust leadership and organizational skills to effectively support the appointed MIC for Operations. The individual will be able to proactively drive forward tactical and strategic outcomes and work effectively to build out the governance and oversight framework with appropriate supervision. To be successful you will need Deep understanding of HSBC Group structures, values, behaviours, processes and objectives. Good understanding and working knowledge of either Markets or Securities Services operations. Product experience of custody, fund administration and transfer agency domain. Build and maintain relationships with various teams across the HSBC organization. Positive ‘can do’ attitude, high level of motivation to meet challenging deadlines and targets. Well-developed organization, planning, time management and resource management skills. Curious and challenge mindset. Opening up a world of opportunity 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 an 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. #J-18808-Ljbffr