Vp regulatory compliance, iwpb (securities focus), HSBC

HSBC

Location:
Taiwan, Taipei

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

The Compliance function is a Second line of defense (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage as “Risk Owners” the Regulatory Compliance risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework.

Job Responsibility:

Support Retail brokerage project launch from RC perspective by providing regulatory compliance advisory and engaging regulators where necessary
Primarily to support Business Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices, with primary focus on Business area
Assist SVP and Head of Regulatory Compliance, IWPB to oversee the critical Compliance policies and systems that impact Taiwan business and ensure that the Group’s exposure to Regulatory Compliance risks is managed in a commercially sensitive, practical and cost effective manner
Assist SVP and Head of Regulatory Compliance, IWPB to ensure the proactive approach is taken to identify Regulatory Compliance risks change and potential impacts on business model in Taiwan
Provide advisory services to business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products
Assist SVP and Head of Regulatory Compliance, IWPB to be responsible for the second line governance of Regulatory Compliance risks exposures, providing analysis, reporting and governance to Taiwan that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure
To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners

Requirements:

Experience across all areas of Compliance risks in financial services industry
Excellent communication and inter-personal skills
Ability to develop practical, cost effective solutions to complex issues
Experience of dealing with regulatory matters and confident interaction with regulators
Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management
Experience of working within a matrixed environment preferred including reporting internationally
Ability to lead change and contribute to joining up with the other teams within Taiwan
Securities specialist license is required
Meet one of the following qualification requirements: Having worked as personnel or chief officer of legal compliance office at any financial institute for five years in aggregate
Having attended not less than 30 hours of courses offered by institutions recognized by the competent authority, passed the exams and received completion certificates therefor
The compliance officer of a foreign business unit who is hired locally, has shown his/her familiarity with local regulations and competence in related matters according to the self-assessment of the assessment procedures resolved by the board of directors, or the review and acknowledgement by the local competent authority

Additional Information:

Job Posted:
June 12, 2025

Expiration:
July 31, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Vp regulatory compliance, iwpb (securities focus)

HSBC

Location:Taiwan, Taipei

Category:Finance

Contract Type:Not provided