HSBC Group

Vice President, FICC Compliance Advisory (Global Foreign Exchange & EM Rates) - Compliance (BB-9039F)

Found in: Neuvoo HK

Vice President, FICC Compliance Advisory (Global Foreign Exchange & EM Rates) - Compliance:0000ERNW


The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at HSBC. As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have.

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.

Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.

We are currently seeking a high calibre professional to join our team as a  Vice President, FICC Compliance Advisory (Global Foreign Exchange & EM Rates) - Compliance

Principal Responsibilities​

  • The role holder will be part of Global and Regional Markets Securities ServicesCompliance team that provides independent oversight and challenge of risk management practices across the Asia Pacific GFX and Securities Financing within Markets Securities Services businesses, Global Functions within the second line of defense to obtain reasonable assurance that they are operating in line with relevant laws, regulations, codes and HSBC Group Standards.

  • Act as the SME for Markets Securities Services Compliance to drive the global and regional approach in challenge,guidance, support and interpretation to the Markets Securities Services businesses, Global Functions and jurisdictions, coordinate with equivalent counterparts in other compliance teams to ensure a consistent, best practice and joined up approach.

  • To advise on aspects of Markets Securities Services franchise, and in particular, GFX and Securities Financing Compliance in order that line management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice.

  • Partner with regulatory change and other regulatory SMEs to understand new and revised regulatory requirements, codes of practice such as ensuring changes and impacts are disseminated to the appropriate businesses and functions

  • The role holder will assist functional and line management in resolving compliance matters and requests which arise across Markets Securities Services Compliance.

  • Play a leading role in the Markets Securities Services Compliance team’s delivery of outstanding performance in resolving compliance matters and requests which arise in business areas.

  • Liaise with other Compliance areas the firm, auditors and infrastructure departments in relation to compliance matters in the Asia Pacific region and overseas jurisdictions as needed.

  • Provide training to business areas on procedures and practices necessary to achieve compliance.

  • Provide compliance support and input as required to team members undertaking the Markets Securities ServicesDue Diligence approval process and to respond within agreed timescales.

  • Qualifications


  • Demonstrate Global Fund Exchange or GFX and Securities Financing advisory compliance experience in associated products and product lines.

  • Knowledge of applicable rules in relation to Cash Fund Exchange, FX options, commodities, EM Rates, Cash and Derivatives, STIRT, Repo Rates and Repo Credit.

  • Investigative andregulatory supervisory skills to undertake reviews of specific business activities and conduct.

  • Ambition to enhance compliance knowledge and skills in a rapidly changing and dynamic Markets environment.

  • Work across all levels of the organization to understand cross-functional linkages and interdependencies, as well as the implications of Compliance risk at both a strategic level and at the business unit level.

  • Demonstrate excellent interpersonal, communication and influencing skills and confidence to deal with senior and executive level staff to defend guidance, sell the benefits of Compliance risk management and challenge their operating environment.

  • Ability to lead and motivate compliance officers with a reporting line into the role.

  • To be considered for this role, the relevant rights to work in Hong Kong is required.

    You'll achieve more when you join HSBC. 

    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. 

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