Avp, Regulatory Conduct, Compliance Gsc's

7 days ago

Bengaluru, Karnataka, India HSBC Full time

  • Job description

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.


HSBC is one of the largest banking and financial services organizations in the world, with operations in 62 countries and territories.

We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realize their ambitions.


We are currently seeking an experienced professional to join our team in the role: AVP, Regulatory Conduct, Compliance**
The Opportunity:
  • The role of a Regulatory Conduct compliance officer involves three distinct responsibilities.
  • Regulatory Affairs
  • Scan for legal and regulatory instruments issued by relevant authorities, including laws, subsidiary legislations, directions, guidelines, codes, practice notes, circulars and information papers.
  • Prepare the legal and regulatory instruments received for dissemination within the day e.g. summarise the information, propose risk rating, applicability review etc.
  • Coordinate the gathering of feedback to Consultation Papers that impact across the Bank, which entails consolidating, reviewing and clarifying the feedback as well as proposing amendments to improve the quality of the feedback.
  • Update regulatory tracker with information of the latest instruments issued and assess the impact to the Global Businesses, Global Function and DBS.
  • Update the compliance chart and regulatory mapping with the latest regulatory developments.
  • Prepare periodic and ad hoc MI for reporting to the relevant bodies e.g. SGH Compliance Risk Forum, Risk Management Meeting (RMM), ASP Conduct Update, etc.
  • Track and disseminate changes in HSBC policies as well as initiate periodic reviews.
  • Conduct Annual certification of entity licensing for all HSBC entities in Singapore.
  • Update relevant Department Instruction Manuals (DIMs).
  • Create and maintain records in the RAPID2, ENGAGE system and relevant systems. Participate in new system implementation, including scoping, user acceptance etc.
  • Follow up on adhoc queries, and follow through on actions arising from reviews.
  • Regulatory Engagement
  • Arrange and coordinate meeting details with Regulators and internal stakeholders.
  • Provide support in bankwide submissions for requests for information.
  • Follow up and track updates on past follow up actions for senior management and the Board of Directors.
  • Maintain primary regulatory contact list as well as MAS contact list.
  • Regulatory Conduct, ESG
  • Support Group and Regional conduct programmes.
  • Prepare and periodic and adhoc reporting.

What you'll do:

Principal Accountabilities:
Key activities and decision making areas**
The following principal accountabilities are aligned to the Compliance Services and Processes Model. Additional detail is available in the Model.

Impact on the Business / Function

  • To promote and sustain a riskmanagement culture in alignment with Regulatory Compliance's role as the second line of defence.
  • To provide advice and guidance which enables the onshore RC to manage regulatory risk effectively, and to escalate more complex queries in a timely and seamless manner.
  • To proactively identify and support in the management of significant new or emerging risks, and their potential impact on HSBC.
  • To track the resolution of subsequent risk management actions as appropriate.
  • Defining and adopting best practice through collaborating with our key business partners to enable the highest operational standards.
  • Supporting RC to review periodic or adhoc reports or information provided to SGH Regulatory Compliance and to take necessary actions if required.

Customers / Stakeholders

  • Work / Liaison closely with relevant stakeholders in their respective onshore Businesses and Functional teams to provide expertise and support on all Regulatory Compliance related matters.
  • Build strong relationships, adopting a joined up approach, to execute processes at pace and with minimum conflict.
  • Ensure that the business operates using accepted industry standard methodologies, practices, processes and principles
  • Ensure the appropriate timely and relevant risk information is provided to onshore Businesses and Functional teams.

Leadership & Teamwork

  • A strong team player to collaborate with RC onshore teams, business partners, HOST and Global Functions areas to ensure commonality and consistency
  • Share best practice with onshore RC teams.
  • Drive a high performance culture through delivering standards, collaboration and effective people interaction
  • Agree responsibilities within formal and informal network, providing context, direction and confidence to deliver results
  • Main

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