Svp and Head, Compliance Advisory Core Wpb/rbwm

1 week ago

Singapore HSBC Full time

**Some careers have more impact than others.**

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. 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.

Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively manages a varied and dynamic range of risk types, including security, fraud, information security, contingency, geopolitical, operational, credit, pension, insurance, market and reputation risks. All parts of the Global Risk team use their skills, insight and integrity to handle established threats and those they see emerging, acting to protect and enable HSBC to deliver sustainable growth.

We are currently seeking a high calibre professional to join our team as a **SVP and Head, Compliance Advisory core WPB/RBWM.**

**Principal Responsibilities**
- Strong partnership with the WPB Business team, Local Compliance teams and Regional Compliance teams, as well as Risk teams, acting in concert with them to drive the implementation of new regulations, taking into account internal group policies
- Provide sound regulatory and policy advice related to WPB products, services and business initiatives, to support the Business growth and initiatives
- Investigation, assess and escalate of potential regulatory breaches and issues to Head of Compliance Advisory Core WPB and/or Head for Compliance Advisory WPB
- Manage and lead the required remedial action of all material regulatory compliance related issues involving Singapore. Exercise risk stewardship over regulatory compliance risks of the Business, by challenging the Business on their assessment of such risks, taking into account business activities, regulatory requirements, internal and external events, and the sufficiency of proposed controls to mitigate such risks
- Lead / liaise with relevant stakeholders within Singapore/Regional Compliance WPB and WPB Business to provide WPB Regulatory Compliance expertise on all compliance matters
- Interact with regulators and industry bodies on WPB Regulatory Compliance related matters
- Ensure the appropriate timely and relevant regulatory compliance risk information is provided to Head of Compliance Core WPB, local WPB management and the various risk forums
- Strong communication and working relationship within Singapore and Regional Compliance team, Singapore WPB, Regional WPB, other Risk Disciplines, Functions and Global Businesses
- Foster and develop positive and professional working relationships with senior business managers at the Group, Regional and Country levels
- Resolve any/all identified issues promptly, and escalate concerns to SGH Head of Compliance Core WPB and other managers as appropriate to ensure timely awareness of any material concerns
- Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal/external auditors and external regulators
- Maintain awareness of operational risk within assigned portfolio and minimise the likelihood of it occurring including its identification, assessment, mitigation and control, loss identification and reporting

Requirements

**Requirements**:

- A degree holder with extensive work experience in the area of Regulatory Compliance in order to be able to exercise sound judgement in implementing various Regulatory Compliance requirements
- Should have knowledge and understanding of regulatory requirements and expectations under the Securities and Futures Act and Financial Advisers Act and associated notices, guidelines, circulars, information papers, with regard to retail wealth business, especially in relation to sales quality, advertisements, licensing, complaints, wealth products. Should have good understanding of wealth products
- Able to investigate and escalate incidents, assess regulatory impact and prepare reports to the regulator as necessary
- In addition, it would be desirable to have knowledge of disclosure/conduct and branch operations related requirements under the Banking Act where it relates to retail banking/lending business.
- Strong awareness of risk and conduct issues, to be able to advocate and challenge the Business on their assessment of such matters and the sufficiency of proposed controls
- Familiarity of with risks and issues concerning cross border business
- Leadership experience and a strategic thinker
- Excellent communication and inter-personal skills, with experience of dealing with executives at all levels including the capacity to articulate the case for regulatory best practices, conduct, risk management and policy in the language of business
- Ability to develop practical, cost effective solutions to complex issues
- Experience of dealing wi

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