HSBC Global Services Limited
Senior Compliance Manager
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Who is HSBC Innovation Banking?
HSBC Innovation Banking is the power behind the UK’s forward-thinkers, future-makers, and leap-takers, helping them ignite the bold ideas that reshape our world. We offer flexible banking solutions for start-ups, scale-ups, growth businesses, investors and those working towards IPO typically within the technology and life science sectors.
Whether it’s comprehensive banking, managing cashflow, plans for buyouts or Strategic Fund Solutions, we power ideas at every stage of their journey. From the first-time founders to the funds that back them, and everything in between. We're proud to accelerate growth for our clients, create meaningful connections and communities, and open a world of global opportunity for entrepreneurs and investors alike.
Here’s to never standing still. Come and join us!
The Role:
The Senior Manager, Regulatory Compliance is a senior generalist compliance role providing advisory support, oversight and challenge, as well as regulatory engagement, across a broad range of stakeholders and compliance areas. Responsibilities include:
- Analysing regulatory developments, identifying, and engaging with the relevant stakeholders to support the business with implementation (including PSR, BCOBS, DISP, SMCR, CRDVI, MIFID, and COBS)
- Provide 2LOD challenge, advice and oversight across the range of products the bank offers.
- Provide written and verbal briefings to stakeholders across the business, and on occasion the Group, including Ex-Co and Board level. This will involve applying expert knowledge in the context of their stakeholders responsibilities and priorities.
- Managing the regulatory developments lifecycle with confidence and autonomy.
- Engaging with stakeholders across the business to ensure a comprehensive record of regulatory obligations exists, which are tracked and escalated as required.
- Utilising regulatory technology to manage regulatory developments lifecycle.
- Managing non-financial regulatory reporting inventory and collaboration with their relevant owners in the required regulatory requirements, including submitting regulatory returns and management of the reporting schedule for the UK business.
- Managing the entire lifecycle of regulatory engagement, schedules, relationships; supporting senior management in preparation to regulatory engagements. Attending meetings with the regulators and taking meeting minutes.
- Implementing and embedding risk management frameworks and regulatory compliance 2LOD risk stewardship.
- Providing SME advice on adequacy and effectiveness of controls required to mitigate regulatory compliance risk.
- Reviewing policies and procedures to ensure that appropriate controls and activities are fully documented.
- Developing relationships across the business and the wider HSBC Group to share relevant information, support the business and senior management in understanding their regulatory responsibilities, highlighting opportunities, drafting, and presenting analysis at relevant governance forums.
- Contributing to the continuing development of the team’s processes, including internal reporting.
- Participation in all-bank projects, representing Regulatory Compliance, at HSBC Innovation Bank and the wider HSBC Group will be a material part of this role.
- Summarising complex information into a clear and concise communication.
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Requirements/Skills
The role holder is expected to have the skills and capability to work with confidence, autonomously and with minimal direction on a day-to-day basis, but also to recognise when escalation is needed. They will also have:
- Strong subject matter expertise, proven experience working in Compliance in banking/financial services across a range of products; commercial banking experience would be an advantage.
- Thorough understanding on how regulations (including Payment Services Regulations, BCOBS, DISP, SMCR, CRDVI, MIFID, and COBS) are interpreted.
- Ability to recognise gaps in expertise, and upskill to a subject matter expert level expeditiously.
- Excellent proven relationship building and management across the full range of seniority levels, external and regulatory.
- Hands-on experience in supporting regulatory and other change projects.
- Experience in managing regulatory engagement.
- Strong ethics and values, empathy, judgement and critical thinking.
- Proactive and constructive approach to advice and oversight leading to strong business partnerships.
- Experience in dealing with confidential and sensitive matters.
- The ability to communicate clearly and with understanding of senior management priorities and the required sense of pace. They will exercise good judgement in the execution of their role while putting the needs of the firm first and in line with our regulatory obligations.
- Open to challenges associated with implementing a robust risk management framework that is fully reflective of the roles and responsibilities across the three lines of defence.
- A solution-oriented growth mindset, curiosity and passion for learning and improving.
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Where you’ll be based:
Our home office in Finsbury Square, London. We offer hybrid working to our employees, so you can flex between home and the office, with a current requirement to be in the office 2 days per week.
Being open to different points of view is important for our business and the communities we serve.
At HSBC, we’re dedicated to creating diverse and inclusive workplaces - no matter their gender, ethnicity, disability, religion, sexual orientation, socio-economic background or age. We are committed to removing barriers and ensuring careers at HSBC are inclusive and accessible for everyone to be at their best. We take pride in being a Disability Confident Leader and will offer an interview to people with disabilities, long term conditions or neurodivergent candidates who meet the minimum criteria for the role.
If you have a need that requires accommodations or changes during the recruitment process, please get in touch with our Recruitment Helpdesk via hsbc.recruitment@hsbc.com.
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