Job Description

Job Summary

International Wealth and Premier Banking is our new global business combining Retail Banking and Wealth Management; and Global Private Banking, to become one of the world’s largest global wealth managers with USD1.4 trillion in assets. Our dedicated colleagues serve millions of customers worldwide across the entire spectrum of private wealth, ranging from personal banking for individuals and families, through to business owners, investors and ultra-high-net-worthindividuals. We provide products and services such as bank accounts, credit cards, personal loans and mortgages, as well as asset management, insurance, wealth management and private banking, that best suit our customers’ needs.

• People Responsibility: N
• Report to: SVP Product Development Management and Suitability

Job Contents

• Drive wealth products and advice control against Group standards, deploy Wealth Risk Management Framework, manage a robust business unit compliance process, coordinate and deliver actions with key stakeholders
• Inform Distribution on compliance, sales quality, and T&C for the regulated sales force under their control, in collaboration with SQ teams
• Coordinate with Wealth Audits across the region and with relevant parties, IWPB BUCO, GIA, IWPB CCO, and second lines as appropriate and to ensure customer solutions adhere to regulatory requirements
• Perform post-investment transaction reports to identify mis-conduct or regulatory breach trades timely
• Maintain and observe HSBC internal control standards and implement and observe Group Compliance Policy, including the timely remediation action as recommended by audit finding
• Accountable for assessing risk items, developing a comprehensive investment control, coordinating with relevant functions to meet internal and external requirement and monitor risk controls and appropriateness of the business behaviour
• Assist in conducting IWS investment self-assessments and BICAR

Skills Requirements

• University or above graduated
• Strong knowledge of banking business and products
• Proven ability to achieve business targets and project management with sound track record
• Proven business judgement and customer insight
• Strong teamwork capability
• Good command in both spoken and written of Chinese and English
• Strong interpersonal and communication skills