Regulatory Compliance Manager, Markets and Securities Services

1 week ago

Kuala Lumpur, Kuala Lumpur, Malaysia HSBC Full time

Some careers grow faster than others.

If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.

HSBC is one of the largest banking and financial services organizations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realize their ambitions.

We are currently seeking an experienced professional to join our team in the role of Regulatory Compliance Manager, Markets and Securities Services - Malaysia.

The Regulatory Compliance Manager, Markets and Securities Services (MSS) Malaysia is responsible for supporting Head of Regulatory Compliance (RC) and Corporate and Institutional Banking (CIB) Malaysia in the implementation, with guidance from Global and Regional Head of all aspects of Regulatory Compliance including impact analysis of regulatory changes affecting business and support the coordination and execution of the designated Regulatory Compliance work streams and assurance in Malaysia, while ensuring alignment with Global Standards and Conventional Banking requirements as well as Islamic Banking requirements. The scope of responsibility of role holder covers HSBC Bank Malaysia Berhad (HBMY), HSBC Amanah Malaysia Berhad (HBMS), HSBC Trustee Malaysia Bhd (HKTM). 

The role requires strong partnership and collaboration with the various business teams and has responsibility for supporting the Head of Regulatory Compliance (RC) and Corporate and Institutional Banking (CIB) in the implementation of Regulatory Compliance policies and standards, local laws and regulations. The role is to ensure a robust and effective regulatory compliance framework within the wholesale business. It will monitor and track the progress of designated work streams and initiatives underway which fall under the umbrella of Regulatory Compliance Risk, provide policy advice, risk stewardship including advisory support related to conventional and Islamic Banking products, services and clients.

The role will also need to stay at the forefront of regulatory changes, to ensure proactive communication with business and where required, develop or support appropriate policy and framework to manage the changes in Malaysia and to provide risk stewardship including advisory support to the MSS business.

Principal Accountabilities:

To provide support to the Head of Regulatory Compliance (RC) and Corporate and Institutional Banking (CIB) in the containment of regulatory compliance risks. This includes ensuring proactive approach is taken for the identification of Regulatory Compliance risk change and potential impacts on the conventional and Islamic Banking Business Model in Malaysia.Continuous support to the Head of Regulatory Compliance (RC) and Corporate and Institutional Banking (CIB) in ensuring appropriateness / robustness / effectiveness of framework to monitor regulatory compliance developments impacting MSS in Malaysia.Support Head of Regulatory Compliance (RC) and Corporate and Institutional Banking (CIB) in the implementation of actions to address, manage and mitigate impacts of regulatory changes.
Support the implementation of global standards, strategic policies, compliance-related projects / programmes which ensure bank's exposure to current risks and emerging arising risk is managed and mitigated appropriately, in a commercially focused and practical manner.Support and assists in the effective deployment of the Compliance Assurance function e.g. in providing the relevant input.Liaison with relevant stakeholders to provide expertise and support on all Regulatory Compliance related matters.To assist in interaction with Regulators and industry bodies in Malaysia, on Regulatory Compliance matters.To assist Head of Regulatory Compliance (RC) and Corporate and Institutional Banking (CIB) in ensuring the appropriate timely and relevant risk information is provided to MSS management and business risk forums.To assist in enhancing regulatory compliance awareness amongst MSS staff.To assist in monitoring changes to business practices and products/services and to ensure that regulatory compliance procedures and controls are adequate to cover them.To maintain a strong communication and working relationship with Business and other Risk Disciplines, Functions and Global Businesses to ensure implementation of new disciplines.Share best practice with group offices, other business lines and other regions.To maintain and develop positive and professional working relationships with the Compliance functions.   Qualifications: Degree qualification of at least 5 years of regulatory compliance or relevant experience, preferably with regulatory compliance experience in Markets and Securities Services.Significant degree of professional independence.Strong team-player attitude.Excellent communication and inter-personal skills, with experience in dealing with stakeholders at various levels including the capacity to articulate the case for risk management and policy in the language of business.Ability to develop practical, cost effective solutions to complex issues.Experience in dealing with regulatory matters and confident interaction with Regulators.Consistent follow-through in ensuring corrective and mitigating actions are put in place or closed out.Pro-active in identifying regulatory compliance issues or developing appropriate recommendations/solutions.Good planning skills are required in order to perform his/her principal accountabilities and manage a varied workload on a timely basis.Practical and effective in providing advice to the relevant functions/businesses management.

Due to the urgent hiring need, candidates with immediate right to work locally and no relocation needed will be prioritized.

Opening up a world of opportunity.

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by HSBC Bank Malaysia Berhad

HSBC's Video

  • Regulatory Compliance Manager, Markets and Securities Services

    6 days ago

    Kuala Lumpur, Kuala Lumpur, Malaysia HSBC Full time

    Some careers grow faster than others.If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.HSBC is one of the largest banking and financial services organizations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling...

  • Regulatory Compliance Manager, Markets and Securities Services

    19 hours ago

    Kuala Lumpur, Kuala Lumpur, Malaysia HSBC Full time

    Some Careers Grow Faster Than Others.If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.HSBC is one of the largest banking and financial services organizations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling...

  • Manager, Regulatory Compliance Advisory

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Prudential plc Full time 60,000 - 120,000 per year

    Prudential's purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our...

  • Assistant Manager, Regulatory Compliance

    1 week ago

    Kuala Lumpur, Kuala Lumpur, Malaysia AEON Bank Full time

    Job SummaryAssistant Manager, Regulatory Compliance job involves ensuring an organization adheres to all relevant laws, regulations, and industry standards. This includes monitoring compliance, developing and implementing policies and procedures, conducting audits, and providing training to staff. The role is critical in mitigating risks, protecting the...

  • Regulatory Compliance Analyst

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Cambridge Advisers Full time $60,000 - $120,000 per year

    About Cambridge AdvisersCambridge Advisers ("CA") is a Singapore-headquartered professional services firm specialising in regulatory compliance, fund administration, and corporate services. We support asset managers, financial institutions, fintech companies, and multinational groups operating in Singapore and the region.As we expand our regional presence,...

  • Regional Marketing Manager

    1 week ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Ultima Markets Full time

    Who are we?Ultima Marketsis a dynamic multi-asset trading platform specializing in the fintech and forex sectors. Founded in 2016, we are dedicated to providing innovative financial solutions that empower our clients to excel in a competitive marketplace.Our platform offers access to over 250 CFD financial instruments, including Forex, Commodities, Indices,...

  • senior executive or manager, compliance

    1 week ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Staffing Services Full time

    Job Description: Compliance Professional (Malaysia-based)Our client is seeking for a motivated and experienced Compliance Professional to support our financial advisory services across both Malaysia (MY) and Singapore (SG) entities.The successful candidate will primarily support AML/CFT functions including customer due diligence (CDD) and name screening...

  • Manager - Compliance (Regulatory Development & Liaison)

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia HLB Full time 100,000 - 120,000 per year

    If you are looking to excel and make a difference, take a closer look at us… OverviewThe incumbent is to support the team in managing, predominantly, regulatory developments and to drive the Group's Compliance framework, initiatives and activities in line with the Group's strategic direction, regulatory and global standards to ensure compliance with...

  • Customer Service

    1 week ago

    Kuala Lumpur, Kuala Lumpur, Malaysia VT Markets Full time

    Job DescriptionAbout UsVT Markets is an award-winning multi-asset brokerage trusted by over 3 million traders in over 160 countries with 400 employees - and growing. Founded in 2015 with the mission to make trading accessible to everyone, VT Markets offers a robust trading environment, over 1000 tradeable instructions, ultra-low spreads, and lightning-fast...

  • Compliance Manager

    1 week ago

    Kuala Lumpur, Kuala Lumpur, Malaysia PLANEX TECHNOLOGY SDN. BHD. Full time

    Responsibilities:• Developing and implementing compliance policies: The Compliance Manager is responsible for creating and maintaining a comprehensive set of policies and procedures that govern trading activities within the company. These policies should cover areas such as insider trading, market manipulation, conflicts of interest, and anti-money...