Global Compliance Testing is a risk-based program designed to evaluate the effectiveness of procedures and controls implemented by management to achieve compliance with relevant laws and regulations. Testing ranges from tightly focused reviews of specific regulatory requirements for segment of a business to enterprise-wide reviews of global requirements.Job Descriptions- Execute Reviews from planning, testing and reporting results. Follow ups and verify recommended action plans to concerned business unit. - Evaluates written policies and procedures, training and processes with respect to regulatory requirements.

-Responsible for monitoring and ensuring disclosure of HSBC / HSBC entities' positions in Equity and Equity derivatives of listed companies across the Asia Pacific region.-Ensures Compliance of the Group to Regulations which cater to Substantial Shareholding, Short Selling, Takeover and Merger, Sensitive Industries and Market Abuse.-Provides compliance service in a variety of areas including but not limited to the management of conflicts of interest, Equity Finance approvals, Managing Transaction check request for Control room and Issuer Requests.

-Proactively examine and review transaction data for suspicious activities and possible fraud ---Utilize various tools to gather, analyze, and interpret data from several sources including transactions, authorizations, and financial data-Reports, present evidence and provide ways to improve fraud detection programs and practices-Review account opening for AML and CIP monitoring-Responsible in the final approval of new brokerage accounts (domestic and foreign).-Responsible in the approval of margin and options upgrade applications.-Oversees and approves account registration change requests in accordance with compliance and industry standards.-Responsible in the final approval of estate conversion processes and in the opening of beneficiary's accounts.-Respond to related Operations and Customer Service inquiries

Responsibilities• Responsible for supervising and monitoring the performance of Customer Care Executives • Handle the tasks of providing multi support, supervision, and leadership to the entire customer service team • Perform responsibilities of handling escalated customer service inquiries and calls • Provide support and coach employees to create an environment of professional growth and success • Responsible for managing the attendance, call volume, payroll issues, and quality control of customer care executives • Identify potential issues and recommend enhancements to the current procedure and implement best practices