Specialist, Regulatory and Conduct Risks

RESPONSIBILITIES Help the Group meet its commitment of being “Here for Good” by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group’s agenda As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business. Proactively support and challenge the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group’s clients. Evaluate the effectiveness of the Group’s compliance efforts. Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subject to. Maintain constructive and effective relationships with Business Heads/Business Chief Operating Officers (“COOs”), and assist relevant Compliance heads to interface with and support all key business stakeholders. Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Head, Regulatory and Conduct Risks & Oversight, HK. Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded. Drive interaction and escalation between Compliance teams in Hong Kong. Ensure that clear and structured flow of information between Country Compliance and Regional Compliance occurs on a regular and timely basis Other Responsibilities Embed Here for good and Group’s brand and values in Regulatory and Conduct Risks & Oversight, HK Team. Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures. Qualifications Academic or Professional Education/Qualifications: Bachelor in Law / Finance / Accounting / Business or related disciplines Languages: Fluent English and Cantonese both oral and written Good analytical, reporting writing and methodical skills What we offer In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing. Core bank funding for retirement savings, medical and life insurance , with flexible and voluntary benefits available in some locations. Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum. Flexible working options based around home and office locations, with flexible working patterns. Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning. Being part of an inclusive and values driven organisation , one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential. #J-18808-Ljbffr