Senior Compliance Advisory Manager – Asset Management

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If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. 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.

We have a great opportunity for a Compliance Advisory professional to join a small, but impactful, Asset Management Compliance team. You’ll be the compliance SME and risk steward advising on Fixed Income, Multi Asset, Equity and Derivative investments and their respective dealing teams. You’ll offer compliance advice, challenge and support to the Asset Management business on everything from new product structure and launch, conflict of interest cases and marketing reviews as well as supporting senior management and leadership in governance and oversight committees.

Our Risk and Compliance function has a critical role to play in supporting, challenging and advising across all areas of the business through establishing policy, monitoring profiles, and identifying and managing forward-looking risk and compliance. We focus on creating an environment that encourages our people to speak up and do the right thing, as well as protecting our customers, the organisation and the integrity of the financial markets in which we operate. Already an industry-leader in many respects, we want to continue setting standards and evolving to respond to strategic changes.  

Whilst you’ll be a part of the Risk & Compliance function, you’ll face off to the HSBC Global Asset Management (AM) Business. Which serves HSBC’s worldwide customer base of private clients, intermediaries, corporates and institutes invested in both segregated accounts and pooled funds. HSBC Asset Management fulfils its purpose of connecting HSBC’s clients and investment opportunities around the world through an international network of offices in approximately 90 countries, delivering global capabilities with local market insight.

As an HSBC employee in the UK, you will have access to tailored professional development opportunities and a competitive pay and benefits package. This includes private healthcare for all UK-based employees, enhanced maternity and adoption pay and support when you return to work, and a contributory pension scheme with a generous employer contribution.

In this role, you will:

•    Contribute to a compliance team to embed a customer-focused culture; supporting the Asset Management business to manage regulatory compliance risks, specifically in relation to Asset Management.
•    Implement regulatory compliance standards and policies in line with the Compliance Operating Model.
•    Report significant issues to Senior Management both within Asset Management and compliance itself.
•    Provide risk stewardship advisory support on all investment related matters. 
•    Assist the Asset Management business with all product development matters in relation to new product launches.
•    Build good relationships internal and external stakeholders i.e. Asset Management colleagues and leadership, legal, auditors as well as regulators.

To be successful in this role you should meet the following requirements:

•    Significant Asset Management Regulatory Compliance experience gained through delivering in an advisory capacity from a Consultancy, Asset Manager or similar Banking or Financial Services institute.
•    Excellent advisory skills, demonstrated through having provided consultation and compliance advice on Fixed Income, Multi Asset, Equity and Derivative Investment products, processes and procedures.
•    A good understanding of relevant regulations specifically UK (FCA) and US (SEC) regs.
•    Able to interpret complex information and communicate highlights, succinctly to a variety of audiences, adapting style accordingly.

The base location for this role is: London with hybrid working.

You’ll achieve more when you join HSBC.

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. Our recruitment processes are accessible to everyone - no matter their gender, ethnicity, disability, religion, sexual orientation, or age.

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Email: hsbc.recruitment@hsbc.com
Telephone: +44 207 832 8500