Manager, RC Advisory Services, Regulatory Compliance Services GSC's
HSBC Group
Karnataka, India
5d ago


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 the HSBC Group.

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.

HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 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 realise their ambitions.

We are currently seeking an experienced professional to join our team in the role of Manager Regulatory Compliance Services

Principal responsibilities :

  • To promote and sustain a risk-management culture in alignment with Regulatory Compliance's role as the 2LoD.
  • To provide advice and guidance which enables the Business 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.
  • To track the resolution of subsequent risk management actions as appropriate.
  • Simple and effective operational processes documented, approved and implemented.
  • Timely escalation of complex issues in alignment with agreed Service Level Agreements (SLA’s)
  • Timely and consistent RC advice and guidance.
  • User satisfaction rates in alignment with agreed Service Level Agreements (SLA’s)
  • Support and encourage constructive cross-country and cross-business teamwork by demonstrating collaboration and matrix management in action.
  • To share insights on repeatable business queries and escalate complex queries in a timely and seamless manner.
  • Team empowered & able to make decisions.
  • Collaborative working relationships are established.
  • Ownership of product quality.
  • HSBC operates in a complex and challenging regulatory environment. There is significant challenge in striking a balance between the demands of regulators and the Group’s customers and shareholders.
  • Global RC is experiencing a period of rapid and deep change impacting the structure and operation of the function itself.
  • The role holder(s) must be able to work through change in a safe and structured way in order to drive a strong RC risk management culture.
  • This will be achieved by :

  • Continuously reassessing risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
  • Ensuring all actions take account of the likelihood of operational risk occurring, addressing areas of concern in conjunction with relevant business and 2LOD colleagues.
  • Observation of Internal Controls (Compliance Policy / FIM requirements)
  • The jobholder will also adhere to and be able to demonstrate adherence to internal controls. This will be achieved by adherence to all relevant procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators.
  • The jobholder will implement the Group Compliance Policy by containing compliance risk in liaison with other key internal stakeholders.
  • The term compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply.

  • This will be achieved by adhering to all relevant processes / procedures and by liaising with 1LOD (First Line of Defence) and 2LOD (Second Line of Defence) stakeholders about new business initiatives at the earliest opportunity.
  • Also and when applicable, by ensuring adequate resources are in place and training is provided, fostering a compliance culture and optimising relations with regulators.

  • The role holder is expected to make decisions appropriate to their areas of responsibility and work openly and collaboratively with their line management and team colleagues within the GSC and with key stakeholder teams (internal and external to RC) at global, regional and country level.
  • Requirements

  • Degree or equivalent professional qualification in law, economics, accountancy or similar field,
  • Strong analytical skills and the ability to support decisions with sound reasoning and clearly articulated justifications,
  • Strong collaboration, communication and stakeholder management skills, with the ability to think laterally and solve problems,
  • Understanding or experience working with retail, wealth, insurance, or asset management products and services,
  • Knowledge or experience in risk management or regulatory compliance an asset;
  • Working in a major financial institution, within a matrix environment, including reporting internationally;
  • High level of professional and personal integrity;
  • Proficiency in English language.
  • You’ll achieve more when you join HSBC.

    HSBC is an equal opportunity employer 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.

    We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc.

    We consider all applications based on merit and suitability to the role.

    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.

    Issued By HSBC Electronic Data Processing (India) Private LTD

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