VP Regulatory Compliance, IWPB

Functional Description

Risk and Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and ensures fair outcomes for clients. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates

People Responsibility:  No

Reports To: SVP and Head of Regulatory Compliance, IWPB

Role Purpose

The role holder is the senior executive accountable for ensuring HSBC’s operations in Taiwan effectively identify, assess, manage and mitigate Regulatory Compliance risks, and for providing timely, high-quality compliance advice to the covered businesses

Job Contents

1. Provide business advisory support to maintain an effective control framework and ensure compliance with external regulations, internal policies/codes, and market practices across relevant business areas.
2. Support the Head of Regulatory Compliance, IWPB in overseeing key compliance policies, standards, and systems for Taiwan, managing Group Regulatory Compliance risk in a practical and cost-effective way.
3. Help proactively identify emerging Regulatory Compliance risks and assess impacts on the Taiwan business model.
4. Deliver compliance advice to ensure the business understands risk exposure across clients, transactions, and products.
5. Support leadership in balancing regulatory and stakeholder expectations with business objectives, considering political, regulatory, reputational, and customer/shareholder impacts.
6. Provide independent risk challenge and trusted advice in governance and issue management, promote a strong compliance culture, and strengthen collaboration with risk and control owners

Skills Requirement

1. Broad experience across Regulatory Compliance risk disciplines within the financial services industry, with strong strategic thinking capability.
2. Excellent communication and interpersonal skills, with proven experience engaging senior executives and the ability to articulate risk management and policy requirements in clear business terms.
3. Demonstrated ability to develop practical, proportionate and cost-effective solutions to complex issues.
4. Strong experience managing regulatory matters, with confidence and credibility in interactions with regulators.
5. Proven ability to interpret and analyse large volumes of information and/or data, and to provide clear, concise summaries and insights for management decision-making.
6. Experience working effectively in a matrixed organisation, preferably with international reporting lines and cross-border stakeholder management.

Pre-requisite License/Qualification

Meet one of the following regulatory qualification requirements:

1. Minimum of five years’ aggregate experience serving as a staff member or chief officer within a legal/compliance function at a financial institution.
2. Completion of the 30 hours of compliance authenticated training delivered by institutions recognised by the competent authority, with examinations passed and completion certificates obtained.