Associate Director, Asset Class Non-Financial Risk

HSBC
America/Chicago
Workplace: OnsiteFull timeFunction: Legal, Risk & ComplianceSkills: ["Analytical skills","Stakeholder management","Communication","Project management","Constructive challenge"]

Oversee the non-financial risk control framework for Cash Equities in Hong Kong and across APAC, ensuring effective governance, challenge, and execution of control standards aligned to HSBC risk appetite. Provide first-line oversight across relevant entities and support safe, compliant growth by governing cross-border flows, regulatory obligations, and electronic trading risks. Lead risk assessments, thematic reviews, conduct controls, and assurance/remediation coordination with key stakeholders.

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FursaFursa
HSBC
HSBC
2 days ago

Associate Director, Asset Class Non-Financial Risk

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Last checked: 3 hours agoStatus: Live

Job Summary

Oversee the non-financial risk control framework for Cash Equities in Hong Kong and across APAC, ensuring effective governance, challenge, and execution of control standards aligned to HSBC risk appetite. Provide first-line oversight across relevant entities and support safe, compliant growth by governing cross-border flows, regulatory obligations, and electronic trading risks. Lead risk assessments, thematic reviews, conduct controls, and assurance/remediation coordination with key stakeholders.
Location: America/Chicago
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Director level

Key Responsibilities

  • •Oversee governance for Cash Equities non-financial risk, leading key governance forums and providing risk/control guidance and challenge.
  • •Support operational risk management by leading risk assessments and thematic reviews, analyzing incidents/near misses, and tracking issues and actions in relevant systems.
  • •Oversee electronic trading risk across algorithmic trading, direct market access, order routing, surveillance, testing, kill-switch capability, change management, and record keeping.
  • •Support conduct risk management by designing and operating conduct metrics and MI, and maintaining the regional conduct control framework across execution channels.
  • •Coordinate first-line assurance, compliance assurance, and audit activity, driving management actions and remediation from reviews and regulatory engagement.

Pay and Benefits

Perks:Flexible Working

Key Requirements

  • •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; familiarity with Hong Kong regulatory expectations is 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 stakeholders across multiple legal entities and jurisdictions.
  • •Strong analytical skills and the ability to assess risk impact of business, technology, and control change.
Experience:International bankingSecuritiesEquitiesNon-financial riskGlobal markets
Skills:Analytical skillsStakeholder managementCommunicationProject managementConstructive challenge
Tech Stack:Helios

Company Brief

HSBC
Global banking and financial services organisation offering retail, commercial, corporate and investment banking, wealth management, and global markets services across Europe, Asia, the Americas and the Middle East.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: London, United Kingdom
Founded: 1865
Glassdoor
Glassdoor: 3.6
WebsiteLinkedIn