AVP - Marketing Compliance

Some careers have more impact than others.

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.

HSBC is one of the largest banking and financial services organisations 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 realise their ambitions.

We are currently seeking an experienced professional to join our team in the role of AVP Marketing Compliance.

Principal responsibilities

• Complete the compliance review and approval process for the complete life-cycle of all financial promotion content across HSBC Asset Management – including self-compliance and Regulatory Compliance (RC) approval coordination at the Point of Manufacture (POM), Point of Distribution (POD) and Point of Customization (POC)
• Review all financial promotion content produced by various teams across the business, and ensure all content is clear, comply with regulatory requirements and internal policies
• Add the appropriate disclaimers and disclosure to all approved financial promotion contents
• Publish approved documents to global and local content repositories (including Seismic)
• Contribute to the maintenance a full library of disclaimer/disclosure for all markets and all investment strategies (in agreement with RC) maintenance
• Contribute to the maintenance Global Compliance Checklist (in agreement with RC)
• Manage ongoing Compliance Training & Testing for all Content Owners, Marketing, Client Business and Customisation teams (in agreement with RC)
• Update disclaimer/disclosure library, Global Compliance Checklist and Compliance Training & Testing to ensure all financial promotions reflect these changes
• Conduct regular audits of financial promotions including quarterly quality check (review of samples of documents) to identify areas for improvement and ensure ongoing compliance
• Support localisation of financial promotions for all markets by align master documents with local regulatory requirements (phase 2)