Assistant Manager – Research Compliance
If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.
The position is a functional compliance role in support of Global Research reporting to and working with the Global Head of Research Compliance.  The role involves a combination of delivery and advisory including (but not limited to) analyst activities, pre-deal research, research clearance, gatekeeping/ chaperoning analyst contact with banking/private-side personnel, aspects of licensing, training, approvals under the direction of Global Head of Research Compliance whom will provide all requisite on the job training.  Key skill development will be focus on the ability to take commercial decisions/ assessments mindful of regulatory, legal and reputational risks.

Form part of the Global Research Regulatory Compliance team that provides independent oversight and challenge of risk management practices across the Global Research business and / or  jurisdictions within the second line of defence to obtain reasonable assurance that they are operating in line with relevant laws, regulations, codes and HSBC Group Standards.

Act as the SME for Research Compliance to drive the global and regional approach in challenge,  guidance, support and interpretation to the Global Research business and / or jurisdictions; co-ordinate with equivalent counterparts in other compliance teams to ensure a consistent, best practice and ‘joined-up’ approach.

We are currently seeking an ambitious individual to join our team as an Assistant Manager

In this role, you will:

• Manage and review gatekeeping/chaperoning:  managing daily multiple requests from various Departments of the bank to access our analysts, ensuring this occurs in  compliance with global regulations.
• Ensure all discussions (and written communications) between bankers/private-side teams and our analysts are chaperoned to protect research independence, to keep our analysts from being potentially tainted with MNPI, and to generally act as a product manager for each deal from a Research Perspective
• Manage the vetting and Investor Education (pre-deal) report generation cycle - including managing expectations and ensuring compliant interactions with ECM/DCM and Investment Banking - monitor all deal related emails between bankers and research.
• Maintain deal status communications with ECM (regular) and DCM (irregular at present)
• Responsibility for reviewing Research Guidelines and liaising with Deal Counsel
• Oversee the monitoring (all Symphony chat, Regional Sales/ Trading group emails, Research Bloomberg and evidential spot checking individual email) for inappropriate content 
• Approve Regulated Activity licenses from a Fit and Proper person perspective 
• Monitor all research related issues in the EMEA region and countries liaising with local compliance staff and local research management and analysts. 
• Present as primary resource to do this more often than not, mindful of local and global legal risk, reputational risk, MNPI and insider dealing considerations 
• Escalate all appropriate issues to compliance locally and globally and manage the local mitigation approaches to risk.
• Liaise with compliance for Global Markets and Global Banking regularly as appropriate on issues (e.g.: checking trading history)

Requirements

Qualifications 

• Relevant experience with Global Banking Compliance, Global Markets Compliance or Control Room would be largely beneficially for the role. 
• Strong background in compliance 
• Strong written and verbal communications skills, including being able to demonstrate the ability to distil complex issues into succinct messages and present confidently to a variety of internal, external and high level stakeholders.

Location – Hybrid role – Office location – London Canada Square
*Role will include on call work on one weekend  per month *