Compliance Advisory - Apprentice (12 Months)

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Business Description:

This apprenticeship is designed for a graduate or early-career professional (0–2 years’ experience) who wants to build practical expertise in Asset Management compliance and India’s regulatory framework. The role supports the Compliance function by helping the team monitor, assess, and improve adherence to regulatory requirements (including SEBI Mutual Funds and SEBI Portfolio Managers Regulations, plus other applicable rules) and internal policies.

The role is to support AMIN Compliance team on their day-to-day compliance advisory activity, including but not limited to:

1. Assist with maintaining compliance trackers, and evidence repositories (e.g., monitoring actions, issues, and attestations), preparing documentation for internal governance forums and routine compliance reporting. It will also include supporting the scheduling and coordination of compliance activities (training, monitoring, reviews, and meetings).
2. Support execution of compliance monitoring plans by gathering data, performing basic checks, and documenting results. It will also include tracking remediation actions and follow up on open items with relevant stakeholders.
3. Stakeholder and regulatory liaison - Assist with engaging internal stakeholders on compliance related matters, including interaction support for auditors where required.
4. Regulatory filings, submissions and inspections - Support timely regulatory filings and data submissions; help coordinate responses for regulatory inspections and local audit requirements. Assist in the coordination and timely resolution of investor complaints escalated by the regulator. Support employees dealing checks and related compliance requirements.

Additional Information :

1. The tenure of the Apprentice will be 1 (one) year as defined under Apprentices Act, 1961 and Apprenticeship Rules 1992 amended from time to time.
2. All Apprentices engaged by the Company will also be featured in NATS portal as an ‘Apprentice’.
3. By virtue of them being covered under the provisions of the Act, a candidate profile will be created for each apprentice in the NATS portal, which will be available to them for viewing.
4. On completion of the one-year Apprenticeship tenure, a Certificate of Proficiency will be issued to the apprentice by the Govt. of India, as applicable under the Act and the enrollment under the Apprenticeship Act will cease.
5. All other clauses regarding the tenure of engagement as an Apprentice with HSBC will stand as mentioned in the offer letter issued by the Company at the time of joining.

Note:
As an employee, you are required to perform your duties in a professional capacity exercising independent judgement, discretion and decision-making authority in planning, organising, directing work, supervising and appraising the work of team members, as applicable; and taking accountability for delivery outcomes. You will represent the organization with relevant internal and external stakeholders. You will allocate and prioritize work, provide direction and feedback, manage team capacity and leave in line with policy as applicable.

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Issued by HSBC Global Asset Management India Private Limited