Aml Investigations Mi Assistant Manager

Job description

Role Title: AML Investigations MI Assistant Manager
Business: Financial Crime Compliance
New or Existing Role? New
 
Role Purpose


Accountable for the Management Information (MI) framework for Global AML investigations (AMLi).  Responsible for establishing and implementing the framework for AMLi reporting, including definition and enhancement of management information, analysis of MI trends and themes and timely delivery of reports.
 
Key Accountabilities
Impact on the Business/Function


Ensure that Global AMLi MI is produced accurately, within agreed timescales that meets the need of the AMLi function.

Construct governance model such that data flows from Group to Region to Country, and, in due course LoB.  Map MI production to the forums for its review. 

Ensure that data received from stakeholders is attested for accuracy, and accountabilities are clearly defined and accepted.

Construct an understanding of relevant, underlying processes to collect, document and disseminate AMLi MI.

Call out data limitations or lack of completeness in presented data.    Identify critical areas for remediation by respective business owners and escalate to senior management.

Monitor and report on the progress of remedial work from the perspective of MI production.

Agree and implement a calendar of necessary MI, and the forums in which to discuss and manage them, with AMLi senior management.

Provide input into new MI requirements as necessary as organisational knowledge and experience grows and focal areas change.

Identify new sources of information that need to be captured and integrated into the AMLi MI process and manage the development and deployment of new MI as necessary.

Collate, present and provide insightful analysis and commentary of AMLi MI, drawing out the reasons for trend variance and decisions required.

Monitor AML IRIS entries for those relevant to AMLi, and escalate those requiring managerial attention.

Work with FIU to enable the thematic analysis of SAR trends.
 
Customers / Stakeholders


Establish effective relationships with the Global AMLi team and Regional AMLi teams.  Assess and advise on all MI aspects of process and performance, ensuring a robust and accurate MI pack is produced within agreed timescales.

As new MI is required or amendments necessary to existing MI, ensure sufficient and productive consultations and discussions are held with stakeholders.

Represent AMLi in any relevant working groups as appropriate and provide guidance and advice with regard to MI production and analysis and also sharing best practices.

Liaise with the following stakeholders to source and analyse MI:

WFM for resourcing capacity;

MI&DG for metrics production;

SC&A for transaction monitoring metrics;

Regional AMLi.

GAMLO who produce AML metrics.
 
Leadership & Teamwork


Provide advice to Regional AMLi MI teams to ensure timely production and reporting of MI

Ensure adequate development and training is provided to AMLi MI teams to develop necessary skills and competencies.

Be sensitive to cross cultural nuances and exhibit maturity and tolerance in managing the same.
 
 
 
Operational Effectiveness & Control


Ensure adherence to established operational risk controls in accordance with HSBC or regulatory standards and policies, especially given the regulatory implications associated with AML operations and investigations.

Ensure all actions take account of the likelihood of operational risk occurring and address any areas of concern in conjunction with operations management and/or the appropriate department. 

Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators
 
Major Challenges


HSBC is a large, complex multi-national entity with four business lines, operating in over 60 countries.  The AML systems environment has been built over a number of years and lacks consistency.  Sourcing data to enable an accurate, complete picture of AMLi operations is challenging.

Cross entity view needs to be applied whilst managing this role. This will pose challenges as existing local practices have to be changed.  This could be a hindrance if not managed appropriately.

The role requires excellent inter personal and communication skills, liaising with stakeholders remotely across multiple geographies to consolidate reports which are clear and display brevity for dissemination to AML/Compliance senior management.

The role requires the ability to influence, teach and challenge intelligently.  The role holder will need personal resilience to faithfully report metrics which may show sub-optimal process or implementation..

The job-holder is expected to drive a compliance culture and help embed it within the DNA of the AMLi teams.
 
Role Context


High levels of technical and professional expertise are required to provide guidance and advice on specialised matters.

Adaptable and responsive to change.  FCC is undergoing a substantial change programme which requires agility and flexibility.

The role entails regular contact with peer group and senior managers to coordinate efforts and report progress and results.

The individual will have a steep learning curve and will demonstrate the ability to apply learned techniques, knowledge and expertise to new business situations and in different business environments.

Promote an environment that supports diversity and reflects the HSBC brand
 
 
Management of Risk


The jobholder will also continually reassess 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.

This will be achieved by ensuring all actions take account of the likelihood of operational risk occurring and also by addressing any areas of concern in conjunction with line management and/or the appropriate department.
 
Observation of Internal Controls


The jobholder will also adhere to and be able to demonstrate adherence to internal controls. This will be achieved by adherence to all relevant procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators.

The jobholder will implement the Group compliance policy by containing compliance risk in liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance Officer or Local Compliance Officer. The term ‘compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply.

This will be achieved by adhering to all relevant processes/procedures and by liaising with Compliance department about new business initiatives at the earliest opportunity. Also and when applicable, by ensuring adequate resources are in place and training is provided, fostering a compliance culture and optimising relations with regulators.

Desired profile

Knowledge & Experience / Qualifications


Experience in Operations Management, sound knowledge of MI and Production Management tools e.g. ETCS, Planning & Project management skills and a proven track record in delivery.

Previous AML MI experience within a large global bank desirable.  Understanding of TM, customer screening and manual SAR processes.  Backlog monitoring and reporting.

Previous experience as a business analyst an advantage.

Ability to maintain control, direction and motivation in an ever-changing environment

Ability to analyse large amounts of data efficiently, draw conclusions on what the data means and actions required

Highly effective in working with all levels of management and staff.  Strong relationship management skills with the ability to manage & engage multiple stakeholders, meet their expectations , negotiate in situations of conflicting interests and influence key decision makers in a positive manner

Strong communication, presentation and influencing skills – both verbal and written

Numerate.  Advanced MS Excel skills.  Familiarity with Qlikview or Tableau an advantage.

Operates effectively across cultures and in multi-cultural diverse work environments

Resourceful - ability to leverage resources available to achieve goals

Ability to understand and implement Group risk management policies
 
 

 
We are an equal opportunity employer and are committed to creating a diverse environment.
 
 

About HSBC

HSBC est l’une des plus grandes banques internationales avec une présence dans plus de 85 pays dans le monde. Elle a été créée en 1865 sous le nom de « The Hongkong and Shanghai Banking Corporation », et son siège social est basé à Londres. En France, HSBC totalise environ 400 agences et près de 10 000 salariés, avec une spécialisation dans plusieurs activités : une banque pour les particuliers, spécialisées notamment dans la gestion de patrimoine, une banque privée (gestion de fortune), une banque d’entreprises, qui s’appuie sur le réseau de l’ensemble du groupe HSBC dans le monde, et une banque de financement, d’investissement et de marchés. En 2012, HSBC France a réalisé un résultat avant impôt de 450 millions d’euros.