Associate Director, Asset Class Non-Financial Risk

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

We are currently seeking a high calibre professional to join our team as an Associate Director, Asset Class Non-Financial Risk

Role purpose

 • Oversee the control, conduct and non-financial risk framework for the Cash Equities business in Hong Kong and across APAC, ensuring effective governance, challenge and execution of control standards in line with HSBC risk appetite.

• Provide dedicated first-line oversight across the banking entity, including The Hongkong and Shanghai Banking Corporation Limited, and the relevant securities and broking entities supporting equities execution, market access and client activity.

• Support safe and sustainable business growth by ensuring legal entity responsibilities, cross-border flows, regulatory obligations and electronic trading risks are appropriately understood, governed and challenged.

Key Accountabilities  

• Governance: Lead and administer key governance forums relevant to Cash Equities NFR, including committees covering business control, policy approvals, electronic trading and APAC risk governance; provide risk and control guidance and challenge in internal forums.

• Operational Risk Management: Support management of the operational risk agenda, lead risk assessments and thematic reviews, analyse incidents and near misses, and track issues and actions in relevant systems including Helios and operational incident records.

• Electronic Trading Risk: Oversee risks relating to algorithmic trading, direct market access, order routing, surveillance, testing, kill-switch capability, change management and record keeping, with focus on Hong Kong SFC electronic trading requirements and HKEX standards.

• Conduct Risk Management: Support design and operation of conduct metrics and MI, review policies and standards, and help maintain the regional conduct control framework across voice and electronic execution channels.

• Audit and Assurance: Support first-line assurance, compliance assurance and audit activity; coordinate management actions and remediation arising from reviews, thematic work and regulatory engagement.

• Stakeholder Management: Act as a trusted adviser to the business and key contact point for Compliance, Operational Risk, Product Control, Operations, Technology, Legal and Audit.

In this role you will need:  

• Strong understanding of front-to-back processes within Cash Equities and the broader Global Markets control framework.

• Knowledge of equities products, execution workflows, electronic trading controls and APAC market structure, with familiarity with Hong Kong regulatory expectations highly desirable.

• Experience in non-financial risk, controls, audit, compliance or a related discipline within a large international bank or securities business.

• Ability to engage and influence senior business and functional stakeholders across multiple legal entities and jurisdictions.

• Strong analytical skills and ability to assess the risk impact of business, technology and control change.

• Proven ability to manage complex projects and challenge constructively while building effective working relationships.

• Excellent verbal and written communication skills.

You’ll achieve more when you join HSBC.


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