HSBC Group

Why join us?

• HSBC is one of the world’s largest banking and financial services organizations. We serve more than 40-million customers through our global businesses: Wealth and Personal Banking, Commercial Banking, and Global Banking & Markets. Our network covers 64 countries and territories in Europe, Asia, the Middle East and Africa, North America and Latin America.
• This is a role within the Compliance Assurance (CA) sub-function, which provides assurance activities over regulatory compliance (RC) and financial crime (FC) risks.
• The role contributes to the global standardised CA approach ensuring that it is aligned to the bank’s Risk Management Framework (RMF). It is responsible for contributing to the delivery of end-to-end assurance work over RC and FC risks and controls. It is a subject matter expert on assessing the effectiveness of risk management activities to meet industry standards, country regulatory obligations and bank policy. 
• The role holder will be required to lead and contribute to assurance reviews across multiple Global Businesses/ Functions in the the region and manage effective relationships with colleagues and stakeholders.
• The role holder will not have direct line management responsibility but may lead other assurance individuals in the delivery of assigned work.    

What you’ll do:

• Support the design and execution of assurance activities, ensuring that all relevant standards, policies and procedures are met. Provide subject matter expertise to and advise colleagues, supporting the identification of appropriate review scope and delivery of assurance activities.
• Inform Risk Owners, Control Owners and Risk Stewards of the design and operational effectiveness of the controls within their area of oversight and control. Escalate significant control deficiencies in a timely manner.
• Lead review teams in delivering specific testing requirements within the assurance programme. Evaluate and manage the allocation of resources on an ongoing basis to ensure completion of reviews.
• Build strong relationships with all internal stakeholders, adopting a cohesive approach to the execution of tasks with minimum conflict. Develop/maintain positive and professional relationships with external stakeholders, while ensuring the independence of an assurance function. Provide stakeholders with timely, concise insight into assurance activities.
• Contribute to the production of high quality CA deliverables, through effective quality control at each stage of the CA review life-cycle, i.e. Terms of Reference issuance, fieldwork completion and reporting. Set the highest standards through personal behaviour, interaction with others and in the expectations set for colleagues. Drive a high performance culture across the team through effective leadership, engagement and collaboration. Help drive high operational standards within the team, avoiding high risk findings from Internal Audit or other internal/external evaluative teams.
• Proactively monitor relevant risks to identify key emerging trends and themes/ topics for assurance review. Through effective analysis of key information, support the identification and communication of emerging trends that may impact the effectiveness of the CA sub-function.
• Help lead senior level regional consultation regarding the review plan and execution, identified issues and issue closure. Drive the provision of consistent MI on the issues identified through CA activities.
• Be innovative in executing all responsibilities, providing solutions to complex issues in a high-risk environment. Ensure effective communication across CA, delivering key messages and strategic updates as appropriate.

What you will need to succeed in the role:

• Minimum of 5 years proven experience in assurance, audit, compliance or risk management within financial services or other major industries.
• Clear understanding of regulatory compliance and financial crime risk within within the global financial services industry; exposure to Global Markets and/or Retail Banking is preferred.
• Experienced people manager, with excellent communication skills, and a proven track record of leading through change.
• Capable of building positive and resilient partnerships with key stakeholders including local and regional stakeholders.
• Proven ability to question, evaluate, and improve existing business processes and adequacy of information.
• Minimum Bachelor’s degree in related field such as business, finance, law or equivalent experience; Chartered Accountant preferred.
• Experience developing assurance automation and analytics tools preferred.
• Strong English language skills (written and spoken) and proficient with Microsoft Office.
• Fluent in both oral and writing Cantonese is preferred but not essential.