This role is a key compliance risk management role that has a broad remit and responsibilities for
leading implementation and management of all aspects of compliance, including impact analysis of
regulatory changes and driving coordination and execution of the various compliance work streams
for AMIN, while ensuring alignment with HSBC framework.
 The role requires strong partnership with the entity’s business team, interfaces with both risk and
general Compliance and has responsibility for driving the implementation of policies relevant to
asset management. The role will monitor and track the progress of various work streams and
initiatives underway which fall under the umbrella of compliance, provide policy/regulatory advices
to address the risks associated AMIN business.
 The role will also need to stay at the forefront of the local regulatory changes to ensure proactive
communication with business and develop appropriate policy and framework to manage the
changes in the entity.
 Identification of compliance risks and potential impacts on the business and provide guidance to
business on compliance advisory requirements;
 Establishing and implementing Group standards and policies to ensure business’s exposure to
current risks and emerging risk is managed appropriately.
 Conducting periodic compliance reviews of key functions and 3rd party service providers;
 Monitoring of regulatory compliance areas pertaining to market abuse controls, investment
restrictions, marketing material reviews, including website content & investor communication;
 Timely and efficient submission of various compliance reporting to the Group and regulatory
submissions. This also includes providing timely and relevant risk information to senior
management and governance forums;
 Liaison with relevant stakeholders, including Regulators and industry bodies, on all compliance
related matters;
 Assisting LCO in discharging his/her regulatory obligations by identifying and containing
compliance risks by monitoring, escalation, reporting, certification, etc and fostering a compliance
culture within the entity.