Regional Head of Regulatory Compliance, Conduct, and Legal Audit for Asia Pacific – Global Internal

Job Description

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If you’re looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with 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.

Global Internal Audit provides independent, objective assurance to management and the risk and audit committees as to whether the framework of risk management, control, and governance processes, as designed and represented by management, is adequate and functioning.

We are currently seeking a high caliber professional to join our team as Regional Head of Regulatory Compliance, Conduct, and Legal Audit for Asia Pacific.

Role Purpose

This is a senior leadership role based within the GCCL Internal Audit team, with functional reporting directly to the Global Head of Regulatory Compliance, Conduct, and Legal (RCCL) Audit . The role holder will act as the Regional Head of our Asia Pacific (ASP) RCCL internal audit team and will work in collaboration with other RCCL regional audit heads and ASP GIA senior stakeholders to contribute to the design and execution of the global Annual Audit Plan (AAP) with respect to RCCL risks, as well as identifying and evaluating risks and significant issues to be communicated through to the Board and other senior stakeholders, whilst promoting an environment that supports diversity and reflects the HSBC brand.


  • Manage the process of identifying and evaluating RCCL risk, as well as assessing the adequacy, effectiveness and compliance of internal controls utilized to manage these risks.
  • Identify significant regulatory compliance risks and issues to be communicated through to the Board, executive and senior management and make appropriate recommendations.
  • Maintain and enhance stakeholder relationships through regular bilateral meetings, appropriate questions in business risk governance forums, and keeping in touch with business, regulatory and peer industry developments.
  • Drive the annual audit plan development ensuring adequate key RCCL risks coverage across the ASP region.
  • Manage the assessment of adequacy of controls for high risk project activities for businesses supported; recommend appropriate project life cycle controls to ensure end results do not pose undue organizational risks.
  • Oversee and execute a programme of continuous monitoring through stakeholder meetings, participation in business governance forums, ongoing review of business risk profiles, and delivery of continuous monitoring reports. Ensure results of CM activities are reflected in audit entities risk assessments, as applicable.
  • Develop and maintain ongoing, constructive interactions with executive management and key internal/external stakeholders to ensure relevant oversight over RCCL risk and the production of compelling, actionable insights
  • Maintain expert knowledge of RCCL risk including the external environment which can have an impact e.g. regulatory focus, competitor activities and market trends which can influence the direction of the Audit function.
  • Ensure Audit services are provided as appropriate to internal and external client needs, liaising as required with external auditors and regulators.
  • Proactive interaction with other Audit and business executives and teams (internally and externally) to understand overarching regional and global issues in relation to RCCL risk and audit best practice, leverage ideas and ensure consistent product, service and process.
  • Ability to work effectively with a very broad range of internal and external stakeholders, many at executive/GMD level, including amongst others, regulators, Senior Executives/Senior Management, Risk/Audit Committee members and other control functions;
  • Continuously staying abreast of internal and external changes in the risk environment, being able to assess their impact on our business units and control environment and providing a timely assessment to Executive Management;
  • Lead and motivate an effective team of highly experienced/qualified professional auditors and be able to motivate, encourage and challenge them to provide very high quality and value-added results;
  • Continuously enhancing both audit skills/capabilities and subject matter knowledge, particularly on the relevant global business/function in order to make a meaningful contribution in audits, task forces, steering/governance committees and maintaining a “seat at the table”.



  • Proven and progressive business audit, and/or Regulatory compliance/risk experience or equivalent.
  • Bachelor’s degree in business, accounting, finance, related field or equivalent experience; professional certification (CPA, CA, or CIA) preferred but not essential
  • Strong managerial, communications, analytical, problem-solving, organizational, lateral thinking and interpersonal skills.
  • Must have an inquisitive mind and be able to show leadership in an unstructured environment.
  • Experience in leading and managing cross functional team
  • Extensive knowledge of the Company, Group and financial services industry, businesses supported and the regulatory framework they operate in.
  • In depth understanding of the business, risks and related controls within areas of responsibility.
  • Significant audit/assurance experience covering Regulatory Compliance, Conduct, and Legal with ASP regulations.
  • Solid understanding of the Group’s Risk Management Framework or Operational Risk expertise including: first, second and third lines of defence roles
  • Strong working knowledge in the design and use of data analytics in assurance testing
  • Prior experience working in Financial Services, specifically within the compliance domain (Financial Crime/Regulatory Compliance).
  • Past experience working/leading in an audit or assurance role, e.g. Internal / External Auditor, Risk Steward, Control Officer.
  • Having role relevant qualifications, is preferred but not mandatory
  • Ability to travel

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Issued by The Hongkong and Shanghai Banking Corporation Limited.