HSBC Qianhai
HSBC Qianhai Securities Limited (HSBC Qianhai) is HSBC’s securities flagship in China and 90% owned by HSBC. We are headquartered in Shenzhen, heart of the Greater Bay Area, with branch offices in Beijing and Shanghai.
At HSBC Qianhai, our clients are at the heart of everything we do and we build long-term, strategic relationships with them. We leverage on HSBC’s unique global footprint and deep-rooted China franchise to help clients navigate market opportunities.
For two years in a row in 2020 and 2021, we have been recognized for our MA and ECM capabilities with awards from China’s Securities Times, and our dual language research unit was voted No.3 for A-Share research by clients in the Asiamoney broker survey.
Responsibilities of the role holder
负责MSS业务（包括经纪、资管和自营业务）的合规管理，并提供合规咨询、合规审核、合规培训；
Responsible for the compliance management of MSS business (including brokerage, asset management, Equity Trading/FI Trading), and provide compliance advice, compliance review, and compliance training;
负责MSS业务新产品新业务、规章制度、流程的合规审查，并拟定合规审查意见；
Responsible for the compliance review of new products and services, new Police and processes of MSS business, and formulate compliance review opinions;
对涉及MSS业务的法律法规及监管规定，及时进行合规宣导和解读；
Provide timely compliance guidance and explanations on laws, regulations and regulatory requirements related to MSS business;
与MSS业务部门及各职能部门建立良好的协助关系；
Establish good cooperation relationship with MSS business department and functional department;
为MSS与PB的业务合作提供合规支持；
Provide compliance support for the business cooperation between MSS and PB;
与ASP MSS、ASP RC及相关职能部门建立良好的协作关系，协助IBCN MSS业务取得ASP业务和职能部门的支持；
Establish good cooperation relationship with ASP MSS, ASP RC and relevant functional departments, and assist IBCN MSS business to obtain support from ASP business and functional department;
按照监管要求，组织实施对MSS业务的合规检查，报告发现的问题，并监督问题整改；
Organize and implement compliance inspections of MSS business in accordance with regulatory requirements, report problems found, and supervise the rectification of problems.