Job description
Business: IWPB Business Risk and Resilience (BRR)
Open positions: 1
Role Title: Manager, IWPB Private Bank (PB) and Wealth Ops BRR
Global Career Band: 06
Location (Country / City): India-Bangalore/Hyderabad
Recruiter Name: Kanupriya Mishra
Why join us?
The role is part of the function in IWPB BRR. The purpose of the role is to support Private Bank (PB) &Wealth Operations colleagues within HSBC IWPB (PB& Wealth Ops) to deliver safe and secure services to all our customers, colleagues, and the Bank itself. Continually reassess the changing environment and the impact of new technology and changes from the wider Global regulatory landscape. Activities within PB and Wealth Operations are performed in various areas and include account opening and closing, Account Servicing & Data Maintenance, Order Execution & Settlement Services, Corporate Events & Actions, Asset Transfers, Fees & Commission, Treasury & Banking, Payments, Reconciliations; Client, Regulatory, Interest & Tax Reporting; Credit Services and Asset Services.
The Opportunity:
Requires working with the Global Lead to:
Ensure that robust risk governance exists and ensuring all stakeholders have visibility of key risks and remediation activity.
Monitoring risk appetite in line with business requirements.
Assist in providing high quality and efficient reviews of Business Services control performance.
Facilitating controls remediation where required.
Raising awareness and understanding of risks, controls, and risk management.
Support Automation program.
Continuously improving the control and monitoring of risk, including behaviors.
What you’ll do:
The primary objectives of the role are to:
Drive effective design of material operational controls.
Drive effective design, analysis, and remediation of control measures.
Perform deep dive and thematic reviews.
Provide controls consultancy, advice, and guidance.
Apply and critique Risk and Control Framework
Apply and critique definition and application of policies, control standards and procedures.
Impact on the Business/Function
Drive effective design of material operational controls by:
Working with country business lines and functions to implement better end to end and individual control design.
Reviewing and critiquing business process controls both for individual and E2E levels
Ensuring risk and control standards are considered and incorporated in initial design of new processes and influencing design of automated & manual controls.
Driving effective design, analysis, and remediation of control measures by:
Working with country business lines, functions, and lines of defence to design key measures and tools to ensure control effectiveness.
Ensuring effective and efficient balance of control effectiveness measures
Control measures which could include RCA, KCIs, test approaches, reviews, audits, judgment-based attestations.
Monitoring and analysing control measures to form opinions on control environment, form risk assessments, advise on remediation plans.
Implementing effective testing strategy
Reviewing internal and external trigger events within country
Analysing root cause within country and working with business operations and technology teams to implement remediation measures.
Deploying automated techniques using available tools and technology to test controls, as well as to enhance control environment.
In conjunction with country business lines and functions, develop and monitor risk remediation program activities and actions to ensure progress and path to green.
Perform deep dive reviews on risk & control environment by:
Performing risk assessment deep dives initiated by trigger events such as internal and external incidents.
Conducting deep dive reviews in a timely manner, by those with appropriate expertise.
Conducting and/or supporting thematic reviews across IWPB Operations.
Typical Targets and Measures:
Effective use of analytics to identify potential emerging risks.
Evidence of robust and fit for purpose key indicators and business risk information.
Evidence of challenge, intervention, and escalation of significant risks.
Feedback from IWPB BRR and Business Services leadership teams.
Evidence of early, proactive identification and execution of control and risk interventions within Business Services
Timely provision of relevant information to stakeholders.
Review operational risk assessments and loss data to help identify specific weaknesses and improvements to work practices. Reporting to Operational Risk committees as appropriate
Support Business with meeting timelines to achieve implementation of regulation and strategies.
Increased use of technology and alternative methodologies to measure control effectiveness.
Positive feedback and no complaints from internal customers.
Effectively undertaking deep dive reviews in a timely manner
Customers / Stakeholders
Provide controls consultancy, advice, and guidance by:
Providing controls consultancy, advice, and guidance to stakeholders to ensure that new developments / changes, build in controls requirements from commencement.
Providing controls advice and guidance to stakeholders in remediation activities, to ensure that new remediation is complete, sufficient, and sustainable.
Providing ongoing support, advice, and relationship Management for stakeholders in development and support
Contributing to proposed operational risk policy for the Business or Function and likely impacts to ensure compliance with HSBC Group standards.
Providing guidance and challenge to Risk Owners, Control Owners in adhering to the ORMF and operational risk policies, to ensure that use of the ORMF is embedded.
Supporting the successful implementation of the Non-Financial Risk Optimisation Program (NFRO)
Providing expert advice to Risk Owners in the completion of scenario assessments
Typical Targets and Measures:
Meeting needs of Business Service to perform their role effectively.
Provide timely guidance and support to functions / businesses in the management of operational risks and internal control.
Successful implementation of the Non-Financial Risk Optimisation Program (NFRO) within Business Service
Continued development of effective key management indicators and information.
Effective relationship and stakeholder feedback,
Support Business to achieve improved audit and 2/3LOD review results.
Provide timely guidance and support to functions / businesses in the management of operational risks and internal control.
Support Business to achieve to achieve satisfactory regulatory reviews.
To provide regular and ongoing support to business partners.
Leadership & Teamwork
Role model a positive internal risk and control culture across In-country teams and shape the climate, tone and environment in which people work.
Make considered decisions that protect and enhance HSBC values, reputation, and business.
Demonstrate leadership on the execution of thematic reviews / investigations / compliance reviews in response to internal or external events within PB & Wealth Operations.
Typical Targets and Measures:
Effective conduct of themed review exercises.
Behavioral observation and feedback.
Attendance and active participation in Risk Governance and Control Environment Risk function forums.
Improved collective engagement as well as risk-based ethos across Ops.
Support SME Lead with Global/Regional Risk Governance and Control Environment Risk and attend and actively participate, where appropriate
Liaise with auditor’s / compliance staff and provide them with requisite information.
Operational Effectiveness & Control:
Apply and critique Risk & Control Framework by:
Typical Targets and Measures:
Ensure that robust trigger event reviews are conducted, in line with a risk-based plan.
Favorable comments from 2LOD & 3LOD and regulators.
Instances of proactive intervention.
Timely reporting/escalation of significant risk issues/losses to Senior Management teams globally as governed by the IWPB Incident Escalation guidelines.
Appropriate monitoring of remedial action in respect of control weaknesses identified to ensure timely resolution.
Requirements
What you will need to succeed in the role:
Continually assess the risks related to GPB&Wealth Operations, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, organization change and the impact of new technology.
Consistently display positive leadership behaviors related to the management and mitigation of risk, including notification and escalation of any concerns, and ensuring timely action in relation to points raised by audit and external regulators.
Continually support HSBC's approach to conduct, which is designed to ensure we deliver fair outcomes for our customers and do not disrupt the orderly and transparent operation of financial markets.
Maintain awareness of operational risk and minimize the likelihood of it occurring, including its identification, assessment, mitigation and control, loss identification and reporting in accordance with section B.1.2 of the Group Operations FIM.
(Or)
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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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招聘人员名称
Kanupriya Mishra
招聘人员电子邮件
kanupriya.mishra@hsbc.co.in