Regulatory Compliance and Marketing Materials Review Go back »
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Company:HSBC Electronic Data Processing (Guangdong) Limited
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Location:Guangzhou
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Job function:Marketing
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Industry:Financial Services
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Employment:Full time
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Experience:Mid-Senior level
About the company
About HSBC
HSBC Holdings plc, the parent company of HSBC, is headquartered in London. HSBC serves customers worldwide from offices in 62 countries and territories. HSBC is one of the world’s largest banking and financial services organisations.
About Global Service Centre China (GSC China)
HSBC Global Service Centre China, established in 1996, is the first centre among the GSCs footprint across 7 countries globally, being the second largest scale among all GSCs in HSBC.
At present, there are three GSCs in Guangzhou and Foshan located in HSBC Guangzhou Building, Taikoo Hui Building and HSBC Building in Nanhai, providing operational support to HSBC's offices around the world. The clientele covers HSBC entities in Hong Kong, Macau, United States, United Kingdom, Canada, Japan, Singapore and mainland China.
Since the establishment 28 years ago, GSC China has experienced rapid growth from 60 employees to a professional financial service team with more than 14,000 employees, who service HSBC’s global businesses and global functions through a suite of designated Business Services.
Job description
The team will be to assist the onshore country Wealth and Personal Banking (WPB) banking team leads with regard to marketing materials and disclosures to clients:
The key responsibilities relate to executing and managing Marketing Material review and QA, to ensure market materials meet local regulatory requirements (based on guidance and checklist, disclaimer matrix from onshore Compliance team) and FIM requirements.
Review of LOBPs/Manuals/PIMs.
Provide the Update of DIMs and upkeep of SharePoint.
The team will also assist in other peripheral activities relating to marketing materials and disclosures to clients:
To maintain an effective control framework, including the NFRO program objectives and obligations on risk stewards.
Second line governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance.
Assist in reviewing exception reports and MI & assisting to follow up with the respective LOB stakeholders to obtain responses and compile to onshore for review or for onshore to provide necessary challenge. This is to discharge NFRO obligations.
Assist to review LOB RCAs, control descriptions, residual risk descriptions, trigger events, incident management follow up and perform first level review on the quality of the inputs, & completeness.
Assist the WPB compliance colleagues in extraction of data/MI from Helios, and other sources to assist in RCA reviews, risk reviews and look across exercises, follow up on exceptions from MI on all material compliance related matters. Perform first level reviews and highlight issues or exceptions for further review/escalation.
Review business proposals for initial risk assessment and provide solution and mitigants to manage the risk to the business and customers.
Assessment of various MI submissions made by business to be validated and challenged from a second line of defense point of view.
Assisting in the various thematic reviews and assistance in various compliance training needs analysis and deck content.
Assisting and coordinating various country, region and group submissions on MIs, reporting’s, MANCO submissions etc.
To continuous monitoring oversight initial assessment.
Assist RCA initial refresh assessments, RCA requests from region/ audit/ reviews – reaching out directly with business.
To provide Sanity checks on REN reports.
Managing the RAPID2 and Reg Map processes.
Ask Compliance – following up on MI (items to act on for closure, etc…) with onshore teams.
Compilation of Compliance EXCO packs.
Coordination/ administrative support and follow-up for RC training.
Managing Gap analysis coordination with various stakeholders.
Provide Thematic reviews sampling, review report and coordination with stakeholders.
Managing, reviewing, advising on group projects including representation in working group.
Managing NFR assessments for Group projects.
Trigger and Challenge management based on internal and external events and directly coordinating with business for the same.
Provide Product service initiatives and product reviews.
Support the Compliance Assurance and Audit findings coordination and guidance to business.
Preparing training content and decks.
The following principal accountabilities are aligned to the Compliance Services and Processes Model. Additional detail is available in the Model.
Impact on the Business
Provide risk stewardship support to the onshore Wealth and Personal Banking (WPB) team leads to discharge risk stewardship responsibilities under the NFRO program.
Provide support on new and existing business proposals (PIR proposals) for initial risk assessment and to provide possible solutions to help curtail the risk with mitigants and controls.
Assist in various other initiatives such as training needs, regional / country reporting’s, thematic reviews on an as and when basis.
Customer / Stakeholders
Reporting to designated Manager as per Target Operating Model
Other customer/ stakeholder includes colleagues from business units. For e.g. BFCR, R&C, Product team, regional compliance etc.
Leadership and Teamwork
Maintain and develop positive and professional working relationships with onshore Wealth and Personal Banking (WPB) colleagues and Line of Business (LOB) stakeholders such as the various CCO teams from the Businesses.
Operational Effectiveness and Control.
Create a framework for the effective risk-based monitoring of the implementation of Wealth and Personal Banking (WPB) risks related policies and controls.
Management of Risk
This will be achieved by ensuring all actions take account of the likelihood of Wealth and Personal Banking (WPB) risk occurring and by addressing any areas of concern in conjunction with line management and/or the appropriate department.
Observation of Internal Controls
Managers are accountable for setting the ‘tone at the top’ which underpins the principles of a positive and effective internal control environment. They should exhibit leadership and direction to their teams for establishing and maintaining an effective internal control environment, including the development and management of policies and procedures where appropriate. Managers should also ensure that suitable processes are put in place to review and oversee that internal control environment against those policies.
Skills & experience
10 years’ experience in a compliance advisory/marketing material review function in a banking or regulated financial institution handling regulatory compliance advisory, analysis of regulatory change, or performing compliance assurance reviews.
Minimum Bachelor’s degree in a risk and compliance/ legal or audit background preferred.
Good understanding of the rules & legislation in a banking or regulated financial institution.
Experience in commerce, banking or related field or equivalent with minimum Bachelor’s degree is preferred.
An accountancy qualification or professional background in a relevant risk or audit discipline.
Strong understanding of Risk and Compliance function with good knowledge of regulatory environment.
Good understanding of the relevant rules and all other relevant legislation and guidance, particularly those relevant to various lines of business activities.
Proven analytical skills, together with the ability to support decisions with sound reasoning.
Excellent communication, solution oriented and inter-personal skills, with experience of dealing with executives at all levels.
Proven team player with an open communication style.
Excellent verbal and written communication skills.
Strong command of English required.
Ability to work under pressure and within tight timelines.
Ability to apply professional judgment to enhance the commercial success of the business and provide advisory to the business appropriately.
Flexibility to work in different time zones supporting regional compliance requirements.
How to apply
福利待遇- 具竞争力的薪酬:基本工资+绩效奖金+轮班补贴+早晚班交通津贴;
- 健全福利保障:五险一金+补充性商业医疗保险+免费年度体检;
- 畅享10+天假期:除享有国家法定节假日外,还拥有至少10天带薪年假、12天带薪病假、1天生日假、婚假、产检假、产假以及陪产假、哺乳假等,助您达到工作生活的平衡;
- 弹性福利制度:年假可买卖,商业医疗保险套餐可升级,您还可申请旅游补贴、个人进修补助、运动健身补贴等,满足个性化福利需求;
- 人性化工作环境:使用公司的员工餐厅、咖啡室、休息室、娱乐室等,进行劳逸结合;
- 多元化员工活动:运动会、团建、年会等精彩活动给您平台,任您施展才华。
培训与发展
- 广阔的职业发展平台:遍及全球的集团网络,提供扩展人脉及跨文化交流的机会,您还可申请不同国家及地区的长短期职位,不断挑战自我;
- 系统性人才培育及发展:配备职业导师,为您提供清晰的职业规划指导,充分挖掘横向及纵向的发展潜力;
- 完善的专业培训体系:入职即可享带薪培训,多元化的培训机会,还有资源及教育援助,帮您逐步实现职业目标。
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