Senior Manager- Regulatory Conduct Compliance in England - London, United Kingdom


Banking / Financial Services
Minimum Qualification
Bachelor's Degree
Required Experience
5 - 7 years
Employment Type
Full Time
Male or Female
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Job Description

This role will report to the Head of UK Retail Compliance and will be responsible for developing, co-ordinating and controlling all compliance activity within the wealth management, insurance, banking and mortgage businesses within UK Retail (RBWM and CMB).


  • Assisting line management in its responsibility for complying with regulation, including the provision of advice on compliance within the relevant FSA Conduct of Business rule.
  • Making line management aware of the standards expected by regulation.
  • Discharging Compliance Officer accountabilities set out in the Compliance Officer Handbook.
  • Providing leadership to Regulatory Conduct Compliance (RCC).
  • Continually reassessing the operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.


  • Proven experience working in a compliance function and in financial services.
  • Authority and seniority to perform compliance role independently and not be inhibited in doing so.
  • Knowledge and understanding of the compliance aspects, including HSBC policies, for the bank’s full product suite (including, but not limited to, FSA’s Conduct of Business Sourcebook (COBS), Insurance COBS,  Mortgage COB and Banking COB rules.).
  • Ability to make and implement compliance policy and make recommendations


We promise to make sure you get the recognition and rewards you deserve. In addition to excellent training and development opportunities, you will enjoy tailored benefits, which may include:

  • Defined Contribution Pension Scheme
  • Car Allowance
  • Group Income Protection
  • Health Assessment with Bupa
  • Healthcare Plan with Bupa
  • Life Assurance
  • Partner & Dependents Benefit

We are an equal opportunity employer and seek to employ a workforce which reflects the diverse community at large.

Issued by HSBC Bank plc.


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