HSBC Group

Business: Financial Crime Investigations 

Open positions:1

Role Title: AVP, Investigations Operational Oversight GSC’s

Global Career Band: 5

Location (Country / City ): India/Bangalore

Recruiter Name : Geetika Gupta

The Opportunity:

• AVP, Investigations Operational Oversight is responsible for the internal Investigations governance framework.  This includes the preparation, consolidation, minute taking and action tracking of the Investigations Performance and Oversight Committee, the Investigations Management Committee and other important forums at a group level.

The appointee will:

• Be responsible for the creation of packs, liaising with stakeholders across regions and global teams for relevant updates, ensuring the meeting materials are accurate and complete.
• Be responsible for updating the Risk, Issues and Decisions log and pro-actively monitor all actions from meetings.
• Ensure any external to Investigations actions are appropriately tracked and timely delivered on.
• Be responsible for regular updates and data requests from the Compliance Management Office.
• Provide administrative support to the Head of Investigations when required on adhoc requests, these could include hiring, meeting scheduling, data analysis, MI creation, facilitating forums etc.
• Lead, develop and motivate the team to attract, retain and develop capacity, capability and talent. 
• Ensure all team job descriptions are centrally maintained and up to date, be the point of contact for the recruitment team and action the relevant HR processes for new joiners and leavers.
• Manage the various team inboxes and calendars, ensuring all requests and queries are responded to timely and adequately.
• Be the point of contact for any new work requests from the team, logging the request and support the prioritization workflow of new work items.
• Develop and maintain strong relationships with the Regional and Global Investigations team, to provide administrative support where required.
• Provide full governance and administrative support to Senior Manager and onshore including coordination of meetings, packs and actions including pack creation, consolidation of key governance meetings.
• Review decisions and discussion papers, agenda items and MI collation for meetings if required.
• Minute taking and timely distribution of minutes to Committee Members.
• Diary management – meetings organized, rooms booked and diary invites managed including creation and maintenance of forward looking calendar for respective year.
• All action items monitored as appropriate, timely chasers and advising manager of progress.
• Enquiries directed as appropriate to other members of the management team.
• Ensure good practices in the management of meetings, template standards and frameworks.
• Any other adhoc projects or priorities identified by the Senior Investigations Managers or Governance Managers.

What you’ll do:

Principal Accountabilities and Responsibilities (e.g., for Business, Customers and Stakeholders; internal control environment, etc.)

Impact on the Business

• Deliver efficient and effective SME support to Investigations.
• Assist Line Manager in the oversight and management of the team and activities under scope, providing input and support to other members of the team.
• Ensure adherence to global Compliance Management Office processes, principles and approaches.
• Champion and contribute to change and BAU programs in Investigations (including Region and Country level).
• Ensure Investigations approach, priorities, objectives and outputs are documented and communicated appropriately.
• Escalate significant control deficiencies in a timely manner.

Customer / Stakeholders

• Build strong relationships with all internal stakeholders, adopting a collaborative approach to the execution of tasks with minimum conflict.
• Support Compliance management in building and maintaining positive and professional relationships with key external stakeholders.
• Support Investigations management in the communication of matters arising, and emerging trends, from reviews and analysis to executive and senior management in the business, functions and Compliance.
• Represent Investigations in appropriate forums as required by Global Head of Investigations and Line Manager.

Operational Effectiveness and Control

• Drive high operational standards within the team, avoiding high risk findings from Internal Audit or other internal/external Assurance teams.
• Be innovative in executing all responsibilities, providing solutions to complex issues in a high-risk environment.
• Support management in achieving effective resourcing and cost management.
• Through effective analysis of MI, Internal Audit reports, reviews and other key information, support the identification and communication of emerging trends that may impact the effectiveness of the Compliance function

Leadership & Teamwork 

• Work closely with Line Manager to provide guidance and support in the management of the team.
• Support the production of high-quality deliverables, ensuring that all relevant documents such as Terms of Reference, working papers and final reports, are completed in-line with Investigations guidance.
• Demonstrate effective teamwork, engagement and collaboration across Compliance and peer groups.
• Set the highest standards through your personal behaviour, interaction with others and in the expectations, you set for Investigations.
• Support effective communication across Investigations, delivering key messages and strategic updates as appropriate.
• Identify training and development requirements and propose solutions

Management of Risk

• The jobholder will continually assess operational risk associated with the sub-function and inherent in its activities, taking account of changing financial crime threats, geopolitical, economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructuring, and the impact of new technology in accordance with the operational risk framework. 
• The jobholder will ensure that fair treatment of our customers is at the heart of everything we do, both personally and as an organisation.

Observation of Internal Controls

• Maintain HSBC internal controls, including timely implementation of internal and external audit points together with any issues raised by external regulators.
• To assist in the discharge of accountabilities set out in the Legal & Compliance FIM by proactively assisting Compliance Managers in their responsibilities to assist management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators.

Others

Major Challenges

• Global Compliance continues to experience periods of rapid and deep change both internally and externally.  Co-ordinating a broad matrix team within a sub-function in such an environment is challenging by itself.  However, there are additional challenges resulting from internal restructuring of our business, major cost reviews and implementation of efficiency programs.
• Implementing and managing a uniform approach to operations, in view of disparate operating procedures already in place (within the organisation and within departments) and the unique issues, requirements and problems.
• Balance competing demands from different external and internal stakeholders, taking into account the impact of regulations, business and geographical diversity.
• Be attuned to the political, management, operational, regulatory and reputational implications of particular decisions and courses of action. 
• Assist management in development of controls and systems.  Influence the way in which business is conducted in order to manage related risks.

Role Context

• Financial Crime Investigation is a sub function within Compliance, responsible for investigating any unusual activities or complex cases often referred by Law Enforcement or pro-active reviews.
• Investigations as a sub function of Financial Crime Compliance aims to build the case for a more efficient and effective regulatory approach by defining a potential new regulatory landscape based on practical, tested innovation and serving as a thought leader in the ongoing public debate on the future of regulatory compliance.
• The Compliance Management Office (previously SEG) is a Centre of Excellence delivering business support (e.g. procedure and training development, control management, governance, strategy, internal and external engagement) as well as day-to-day business management (e.g. manpower planning, budget and resource management, review co-ordination analysis and tracking and managing meetings).
• The role holder is required to work with considerable autonomy, dealing with issues for which there is no obvious solution while still being able to apply judgment. The job holder is also expected to help guide other colleagues in the team and make suggestions based on their knowledge and experience. Ongoing need to seek and implement efficiency improvements and enhancements to the conformance processes and procedures.

What you will need to succeed in the role:

Certifications, Qualifications and Experience

• Experience in leadership and people management.
• Experience in managing governance meetings, minute taking and proactive approach in managing meeting administration.
• Experience working in a financial services institution, understanding of relevant compliance and risk controls.
• Ability to support decisions with sound reasoning.
• Strong analytical, organizational and delivery skills, resourceful, creative and adept at solving complex issues.
• Strong communication, influencing and interpersonal skills with a proven ability to quickly build and maintain effective relationships – functional and geographical.
• Strong written skills and attention to detail.
• Highly motivated and autonomous with a continuous improvement mind set and ability work under pressure to tight deadlines.
• Awareness of regulatory and in-house operating environment and potential impact upon the function.
• (Desirable) Relevant industry Financial Crime-related formal qualification (for example, ICA Diploma).
• (Desirable) Working knowledge of Financial Crime Investigations.
• (Desirable) Proven financial crime risk experience.
• (Desirable) Project/Programme Management experience and qualification.

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You’ll achieve more at HSBC

HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and, opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”

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