Compliance Advisory Front Office
Compliance Advisory Front Office
Headquartered in London, HSBC is one of the largest banking and financial services organisations in the world. This role will sit with in the Compliance Advisory team of the Global Asset Management business.
The purpose of the role is to work as part of the Compliance Advisory team responsible for enabling designated business areas (as agreed with the Local Compliance Officer (“LCO”) to comply with all relevant local regulations, laws, codes, in accordance with Group Compliance policy.
Responsibilities;
- Assisting line management in its prime responsibility for complying with all relevant regulations, including the provision of the necessary advice and guidance so that it can ensure that appropriate operating procedures and controls are in place and are adequately defined to enable business areas to conduct their business within the applicable laws, codes, rules and regulations, in accordance with Group Compliance Policy.
- Under instruction from the LCO or the Area Compliance Officer, assist line management in resolving or, as the case may be helping to resolve any Compliance problems
- Maintain close links with fellow Compliance Officers inside and outside of the HSBC Group to keep up to date with regulatory expectations and best market practices.
- Developing and maintaining effective team working and communication with other Compliance officers and Compliance Assistants.
- Develop ability to take direction from a number of managers within the compliance department and assist in prioritisation of workloads to ensure all deadlines/targets are met.
- Oversee specific tasks undertaken by Compliance Assistants as designated in conjunction with the departmental management.
- Monitoring changes to business practices and products to ensure that procedures and/or controls are adequate to cover the business and that any consequential change to the Compliance chart is made.
- Monitoring and checking for adherence to established procedures and systems, reporting findings and making recommendations.
Key requirements:
- Strong compliance experience in an UK Asset Management business covering front office compliance support (Equities, Fixed Income and Derivatives), including policies and systems. Ideally with a knowledge of SEC registration.
- Strong, demonstrable communication and interpersonal skills.
- Well organised with an ability to prioritise effectively.
- Displays attention to detail at all times.
- Good knowledge of FSA regulations, Financial Markets and Asset Management products
- Good knowledge of financial promotion regime
It is important that candidates applying for the role have previous experience dealing with the front office in an asset manager. The role is based in the London office of HSBC Global Asset Management.
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