Job Description
Some careers open more doors than others.
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.
Principal Responsibilities
- Monitoring internal and regulatory restrictions on a daily basis. Ensure compliance with policies and guidelines across all portfolios.
- Identify and verify breaches, report actual breaches, and maintain and up-to-date breach register. Work closely with stakeholders to resolve breaches and mitigate risks.
- Perform alternate checks to ensure accuracy and reliability of monitoring processes. Proactively identify optimization opportunities for robust processes.
- Code internal and regulatory restrictions into the compliance system. Perform rigorous testing and validation of coded restrictions, documenting the outcomes.
- Prepare monthly reports on breaches, compliance status, and other related activities. Maintain process notes, testing documents, and audit-ready records.
- Monitor concurrent auditor activities and ensure deliverables are met as per SLA. Provide timely and accurate responses to auditor queries.
- Develop and maintain an in-depth understanding of investment regulations and internal compliance policies. Stay updated on regulatory changes and their impact on processes.
