Senior Regulatory Compliance Manager, Securities Services
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What you'll do
- Provide regulatory risk review and practical solutions across SSV business processes, new product launches, and service changes.
- Deliver timely, well-grounded Compliance Opinions to front office teams based on the Capital Markets Act and internal control standards.
- Own HSBC‘s engagement with the FSS, FSC, and other supervisory authorities, covering regulatory filings, licensing matters, and examination responses.
- Maintain regular dialogue with key regulators to stay ahead of emerging trends and translate regulatory guidance into internal policy.
- Prepare responses to regulatory information requests and provide audit support during on-site examinations.
- Localize global SSV guidelines to align with Korean regulatory requirements, and effectively communicate local regulatory nuances back to Regional/Group.
- Participate in industry working groups to contribute the firm’s perspective to regulatory policy discussions.
- Support the Compliance Officer (RC) and CEO in all compliance oversight activities.
What they're looking for
- Deep, interpretive understanding of the broader Korean financial regulatory framework — Capital Markets Act, Financial Company Governance Act, Foreign Exchange Transactions Act, and beyond.
- Polished, credible communicator with proven ability to engage supervisory authorities constructively and persuasively.
- The instinct to find a path forward, not just flag a wall. You say “here’s how we do this” more than “we can’t do this.”
- Business-level English for engaging with Regional/Group — reading global policies, writing reports, holding your own in cross-border meetings. Professional Korean for navigating complex local regulations and producing high-quality written opinions.
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
Some careers shine brighter than others
If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. 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.
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 Senior RC Manager – Securities Services (GCB 4)
About the Role
This role serves as the go-to compliance advisor for all SSV business activities and as the face of the organization in front of regulators — proactively navigating regulatory change and representing the HSBC’s position to the FSS, FSC, and beyond.
Key Responsibilities
Compliance Advisory
∙Provide regulatory risk review and practical solutions across SSV business processes, new product launches, and service changes.
∙Deliver timely, well-grounded Compliance Opinions to front office teams based on the Capital Markets Act and internal control standards.
Regulatory Relations
∙Own HSBC‘s engagement with the FSS, FSC, and other supervisory authorities, covering regulatory filings, licensing matters, and examination responses.
∙Maintain regular dialogue with key regulators to stay ahead of emerging trends and translate regulatory guidance into internal policy.
∙Prepare responses to regulatory information requests and provide audit support during on-site examinations.
Global-Local Governance
∙Localize global SSV guidelines to align with Korean regulatory requirements, and effectively communicate local regulatory nuances back to Regional/Group.
∙Participate in industry working groups to contribute the firm’s perspective to regulatory policy discussions.
∙Support the Compliance Officer (RC) and CEO in all compliance oversight activities.
What We’re Looking For
∙Regulatory Acumen: Deep, interpretive understanding of the broader Korean financial regulatory framework — Capital Markets Act, Financial Company Governance Act, Foreign Exchange Transactions Act, and beyond.
∙Regulatory Relations Skills: Polished, credible communicator with proven ability to engage supervisory authorities constructively and persuasively.
∙Advisory Mindset: The instinct to find a path forward, not just flag a wall. You say “here’s how we do this” more than “we can’t do this.”
∙Bilingual Communication: Business-level English for engaging with Regional/Group — reading global policies, writing reports, holding your own in cross-border meetings. Professional Korean for navigating complex local regulations and producing high-quality written opinions.
Company
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