Compliance Assurance Manager

Job description

Job description

If you’re looking for a career where you can make a real impression, join our Global Service Center (GSC)- HSBC and discover how valued you’ll be.

We are currently seeking an experienced professional to join our team in the role of

Compliance Assurance Manager

Role purpose:

This is a role within Compliance Assurance (CA), which provides assurance activities over regulatory compliance (RC) and financial crime (FC) risks.

The role contributes to the global standardised CA approach, which 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 adequately 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 testing and contribute to assurance reviews across banking products across the region and manage effective relationships with key internal and Business stakeholders.

The role holder will not have direct line management responsibility, but may from time to time lead other individuals in CA in the delivery of assigned work.

Main activities:

·  Support the design and execution of assurance activities, ensuring that all relevant standards, policies and procedures are met.
·  Customize and localize standard test scripts and then evaluate assigned controls for design and operating effectiveness, raise issues as appropriate.
·  Ensure that assigned control assessments are accurate, effective, abide by RCAS & CA procedures and templates, and meet quality control requirements.
·  Ensure that assigned control assessments are delivered on time, in accordance with the CA assessment plan.
·  Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving, or redirecting escalations as required.
·  Manage control owners and other stakeholders, ensuring the success of each assigned reviews, minimizing contention where possible and requesting support, where deemed necessary.
·  Manage the documentation of distinct control types, covering key aspects, such as remit, main processes, and handovers to other teams.
·  Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.
·  Support the VPs of the CA Global Service Center Mexico in fulfilling their CA responsibilities as required, including resource augmentation, planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.

Requirements

·  Minimum of 3 to 5 years of experience in risk or control aspects gained within any of the 3 lines of defense functions (e.g. Product Control / Finance, Market Risk, Regulatory Compliance, Front Office, Markets Operations, Model Risk, Counterparty Credit Risk, Markets Surveillance, Internal Audit, etc.)
·  Business Proficiency in English.
·  Minimum of a bachelor’s degree in finance, statistics, economics, banking, business or similar degrees with focus on capital markets and investment management.
·  Desirable understanding basic of SQL.
·  Strong knowledge in data base management.
·  Have the experience of building system understanding by reaching out all the stakeholders, requirement gathering to meet regulatory standards, building a validation/testing plan, testing the enhancements, and owning and ensuring the product quality through its life cycle.
·  Experience of problem solving, conflict resolution by suggesting innovative solution, should the project struggle to move forward.
·  Strong documentation skills and project coordination
·  Demonstrate analytical thinking, sound judgment, critical analysis, attention to detail and provide value-added advice.
·  Strong communication and presentation abilities (written and verbal) as well as the ability to deliver information in an understandable manner

You’ll achieve more when you join HSBC!

At HSBC we offer our colleagues a greater number of days so that they can fully enjoy their wedding, take care of the new member of the family, or grieve the loss of a family member. Our paid leave package is at the forefront in Mexico, now you have one more reason to be HSBC and proudly live a culture of well-being, balance and care

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.

Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website. 

***Issued by HSBC Electronic Data Processing (México) Private LTD***