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Compliance Officer
2 weeks ago
Some careers shine brighter than others. If you're looking for a career that will help you stand out, join HSBC and fulfil your potential. 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. Within International Wealth and Premier Banking, we serve 41 million customers globally, including 6.7 million who are international, from retail customers to ultra-high net worth individuals and their families. We help our customers look after their day-to-day finances and manage, protect and grow their wealth. The International Wealth and Premier Banking Chief Operating Office supports the business to deliver exceptional customer journeys and increase efficiency across our global network. We support the business through effective governance, financial and risk management, transformation, and operational management, ensuring that all International Wealth and Premier Banking business units and markets have the right capabilities and procedures to compete effectively and grow safely. We work in an agile manner and at pace, partnering with teams in Technology and Digital Business Services to bring innovative, digital-first solutions to our customers. We are currently seeking a high calibre professional to join our team as an Officer. In this role you will: Supervise a team of subordinate running daily corporate actions tasks to meet Service Level Agreement (SLA) and Schedule of Services (SOS) requirement agreed with internal clients. The Officer is responsible to manage his/her team's performance by providing training and coaching to staffs, work allocation, giving effective instruction and solution in accordance to the direction laid down by his/her Assistant Manager or superiors. The Officer is responsible to conduct the performance appraisals for subordinates Assist the Assistant Manager overseeing daily corporate actions tasks of his/her team. Approve and execute corporate actions instruction in timely schedule and organize work to achieve zero error result. Allocate resources optimally to meet fluctuating business volume. The Officer should know all processing steps and control points under his/her responsibility areas to ensure all procedures are carried out. The Officer should able to detect problem proactively and provide solution quickly; and report any foreseeable operations problem and resources issues to superior on preventive basis (For Customer Services staff, assist the Assistant Manager in preparation of tax filing and handle difficult enquiry case and client complaints) Monitors the performance of offshore team. Provide details procedure, guidance and link up offshore team and subordinates in executing daily tasks effectively. Where applicable, involve in resources planning to deal with surge of volume Maintains accurate customer service with respect to corporate actions and related duties. Involve and contribute in new business workflow planning, provide recommendations or implementation to enhance customer services. The Officer will observe and carry out requirements listed in SOS consistently and reports any variance in providing services to superiors in a timely manner Safeguards the Bank from financial and reputation loss by monitor and adhere to system and procedural control as well as external compliance requests of all subordinates. The Officer is responsible to obtain clear instruction in order to carry out compliance and management control requirements in the daily operations collaboratively with subordinates Contributes to cost savings or the bank's profitability through recommendation, suggestion and implementation to increase productivity, enhance revenue of SEC or increase the market share in favour of the bank. The Officer should provide at least one recommendation for operational efficiency purpose on yearly basis. The Officer is also responsible to collect management data to superiors To be successful you will need: Excellent understanding of global securities and derivatives markets and products including market practice details. Experienced in securities fields Solid experienced and track record in managing subordinates Ability to deal tactfully and effectively with, custodian, customers and service providers Effective communication and interpersonal skill Good command of spoken and written English, best with oral Mandarin Good knowledge in using MS Excel and Words. GHSS, Euclid, Bloomberg, iFAS, CMT Preferably licensed member of HKMA or SFC or equivalent organization for those incumbents with close customer encounter. Opening up a world of opportunity www.hsbc.com/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 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. Issued by The Hongkong and Shanghai Banking Corporation Limited. https://www.youtube.com/embed/QmZ7Un5gR8c?si=LCa6slfBqlUlxUE-
