Job description Posted 30 August 2022

Role – Compliance Manager

Rate – £600 PAYE

Location – London, hybrid

Duration – 10 months, Maternity Cover

If you’re looking for a career that will help you stand out, join HSBC, and fulfil your potential. 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. They are currently seeking an experienced individual in the role of Compliance Manager.


Role Purpose:

  • Provide robust risk stewardship over key thematic areas overseen by the Management Office, including Information Control, Conflicts of Interest, Control Room, Consent Orders etc. which are priority areas for the MSS business. This includes developing relationships with key members of MSS Non-Financial Risk in order to discharge risk stewardship responsibilities effectively.
  • Oversee and manage the global MSS Risk Strategy team. This includes monitoring BAU deliverables, developing relationships with key members of Group Compliance as well as MSS Non-Financial Risk team. The Risk Strategy team is responsible for supporting the MSS Compliance team in discharging their Risk and Control Assessment duties. This includes developing relationships across the global MSS Compliance SME team, Non-Financial Risk and Group Compliance teams, providing training and guidance as well as the provision of insightful reporting. 
  • Develop, implement and oversee the framework for monitoring MSS Compliance Risk Stewardship of the transformation agenda. This includes promoting the importance of Compliance Risk Stewardship in transformation / change, allocating named Risk Stewards for key programmes, implementing a monthly process for OneNote updates, monitoring and reporting stewardship involvement and key compliance risks for MSS Compliance senior management.


Key Accountabilities:

  • Ensure compliance is a core focus in the areas of responsibility and embedded into the culture of the organisation.
  • Ensure positive and professional working relationships with internal and external stakeholders incl Compliance function colleagues and regulators.
  • Maintain active participation and good attendance in assigned committees and working groups, provide oversight and control as it relates to compliance policies, procedures, risk management and regulatory requirements


Knowledge and Experience:

  • A deep understanding of key conduct considerations across the MSS businesses, including ability to identify desk-level conflicts of interest (e.g. Equities vs Prime, Rates vs Treasury and Cross-LoB conflicts of interest (e.g. private vs. public)
  • SME in Information Control including Wall Crossing and management of MNPI. Role requires facing off to, and providing stewardship over, the MSS CCO Information Controls team.
  • Strong understanding of the global regulatory environment that the MSS business operates under, including knowledge of FCA, ESMA, CFTC, HKMA etc. regimes.
  • Excellent interpersonal, communication and influencing skills and confidence to deal with senior and executive level staff.
  • Ability to develop and drive deep-dive reviews including bottom-up analysis and has excellent report writing skills including ability to summarise and present key messages to senior leadership. (Very proficient with PPT, Word, Excel and can deliver succinct executive summaries).
  • A good understanding of investment banking, primarily from a trading and sales perspective. Including an understanding of key conduct considerations, conflicts of interest and regulatory compliance risk areas.