Global Aml Investigation Manager (Process And Control)
Graduate job London (Greater London) Legal
Job description
Role Title: Global AML Investigation Manager (Process and Control)
Business: Financial Crime Compliance
New or Existing Role? New
Role Purpose
The purpose of the Global AML Investigation Manager (Process and Control) is to manage and oversee the roll out of the processes created as a result of the AML Policy/Guidance, to ensure consistent and timely implementation by Regional and Country Teams. These processes will be subject to assessment by Ops Risk, EWRA, ensuring that AMLi has a consistent and standardized process.
To draft new detailed AMLi process maps for the new Universal Case Manager - to be deployed over 2015/2016 –and ensure deployment and embedding of new processes across countries in a consistent manner whilst providing advisory support to the regions and countries.
Responsibility for managing and executing global process re-engineering efforts across a portfolio of smaller re-engineering projects. Examples include Production Orders (PO’s), Unusual Activity Reports (UAR’s), Requests for Information (RFI’s) and Intelligence Exchange.
The scope of work will include process analysis, design / documentation into implementation, communication, training and monitoring. Where necessary it will include front line, FCC & RC Operations and Compliance reengineering on an end-to-end basis.
To identify additional compliance needs previously unrecognised and recommend solution options, ensuring delivery timelines and scope are adapted and in line with AMLi TAT’s and/or regulatory requirements.
Collaborating with all Regions and appropriate stakeholders including, Change Team, Group Legal, CDD Advisory, FIU, GIIG, FCI, FCC Operations, FCC Surveillance, Regulatory Affairs, Corporate Affairs, Technology and Operations and the LoBs to ensure commonality of approach, methods and tools and consistency of advice and solutions.
Key Accountabilities
Impact on the Business
Identify additional compliance needs previously unrecognised and recommend solution options.
Understand regulations/ constraints and deliver the most beneficial solutions.
Constructively question current thinking and status quo.
Proactively turn innovative ideas into actual efficiency savings.
Experiment, take a risk based approach and learn from the results.
Drive meetings, working groups and workshops to decision points, influencing and negotiating outcomes.
Bring structure and order to undefined problems and/ or large scale problems, making them easier to address and solve.
Sustain existing stakeholder relationships and identify new engagement opportunities across multiple levels in a planned and structured way to support current and future change.
Develop and improve stakeholder relationships to build consensus and improve delivery of change outcomes.
Identify risks to the bank/ business/ programme or project and escalate appropriately.
Think about the audience, the message and the context when planning communications and selecting communication tools and media; use basic skills to effectively structure communications.
Operational Performance
Significant experience in Operational Risk, Policy and Procedure maintenance and performance/risk monitoring within the financial services industry
Good knowledge of AML regulation and compliance matters
Previous experience in process optimization, six sigma process improvement desirable
Significant experience in the financial services industry, ideally from universal banking.
Lateral thinker with an ability to interpret and solve complex issues.
Excellent communicator with strong inter-personal, presentation and influencing skills
Use available information including patterns, trends or missing pieces of data to make or facilitate decision making.
Effectively present decision options, considering time criticality and potential roadblocks.
Anticipate issues and risks and act to mitigate these quickly; handle any unforeseen roadblocks swiftly and effectively.
Consistently demonstrate good listening skills - encourages feedback on communications and seeks to improve these.
Manage delivery of financial improvement initiatives.
Work across global and regional teams to ensure commonality of understanding and objectives – i.e. local teams are focused on delivering against global imperatives, whilst those same global imperatives are shaped to reflect the business needs of the region.
Ensure that assignments are delivered using the appropriate technologies and tools including Group standards.
Operational Performance
Significant experience in Operational Risk, Policy and Procedure maintenance and performance/risk monitoring within the financial services industry
Good knowledge of AML regulation and compliance matters
Previous experience in process optimization, six sigma process improvement desirable
Significant experience in the financial services industry, ideally from universal banking.
Lateral thinker with an ability to interpret and solve complex issues.
Excellent communicator with strong inter-personal, presentation and influencing skills
Use available information including patterns, trends or missing pieces of data to make or facilitate decision making.
Effectively present decision options, considering time criticality and potential roadblocks.
Anticipate issues and risks and act to mitigate these quickly; handle any unforeseen roadblocks swiftly and effectively.
Consistently demonstrate good listening skills - encourages feedback on communications and seeks to improve these.
Manage delivery of financial improvement initiatives.
Work across global and regional teams to ensure commonality of understanding and objectives – i.e. local teams are focused on delivering against global imperatives, whilst those same global imperatives are shaped to reflect the business needs of the region.
Ensure that assignments are delivered using the appropriate technologies and tools including Group standards.
Capability and People Development
Promote and recognises cross-cultural working and communication within team – be culturally sensitive.
Cue and manage appropriate internal stakeholders including, Change Team, Group Legal, CDD Advisory, FIU, GIIG, FCI, FCC Operations, FCC Surveillance, Regulatory Affairs, Corporate Affairs, Technology and Operations and the LoBs.
Collaborate with all Regions and appropriate stakeholders in AMLi to ensure commonality of approach, methods and tools and consistency of advice and solutions
Work with GSD teams offshore to ensure continuous improvement balancing the requirements of Global Standard Processes
Major Challenges
Executing re-engineering efforts across global AMLi and regions to maintain a global perspective on business transformation and re-engineering efforts.
Management of stakeholders within lines of business and AMLi and re-iterating the benefits of re-engineering to business operations and process owners.
Ability to deliver re-engineering efforts in a consistent way on time and within scope – escalating major blockages/ changes to scope in a timely manner to line management.
Role Context
The Global AML Investigation Manager (Process and Control) typically is responsible for delivering re-engineering efforts on globally driven or globally coordinated process re-engineering initiatives. They will be required to operate with senior business, FCC and AMLi stakeholders, acting as a key point of contact for managing and executing global process re-engineering efforts across a portfolio of smaller re-engineering projects. They will play a key role in the global priority re-engineering programmes associated with a wider business transformation programme, supporting business development and demand including a new global case management system.
The scope of process reengineering engagements will involve reengineering end to end business processes – commencing with process analysis, through design and into implementation, and where necessary include front line, FCC & RC Operations and Compliance reengineering on an end-to-end basis. They will identify additional compliance needs previously unrecognised and recommend solution options, ensuring delivery timelines and scope are adapted and in line to AMLi TAT’s/ regulatory needs.
This requires the Global AML Investigation Manager (Process and Control) to operate as follows:
Work as part of a wider team directed by the Global Deputy Head of AML Investigations. The Global AML Investigation Manager (Process and Control) should be able to take initiative in completing key activities, consulting line management for advice whenever required.
Able to interact with stakeholders and should be confident to challenge the business, where appropriate, seeking guidance when required.
Be self-motivated and driven but able to support and work in a team whenever required.
Meet deadlines and completion of tasks on time and at a high standard
Process maps created as a result of AML Policy and implemented consistently across countries
Project delivered on a timely basis
Role Dimensions
The Global AML Investigation Manager (Process and Control) will be expected to manage and execute process re-engineering efforts across a portfolio of smaller reengineering projects or play a key role in one of the global priority reengineering programmes.
The value of this role should not be measured by the size of the team, but by the impact the team is expected to deliver.
Management of Risk
The jobholder will also continually reassess the impact and likelihood of operational risk occurring by reviewing risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal, regulatory or policy requirements, operating procedures and practices, management restructurings, and the impact of new processes and systems functionality.
The jobholder should address any areas of concern with line management and/ or the appropriate business stakeholders. Effective and timely remedial action should be evidenced
Desired profile
Knowledge & Experience / Qualifications
Develop a sound understanding about HSBC’s environment including: AMLi, FCC & RC Compliance and regulations; Organisation structures; HSBC business drivers; Group and businesses’ strategy; Acquisitions and mergers; Shareholders; Processes; Systems and Current state vs. Target state.
Have a basic understanding of the external environment including: Regulatory environment; Key events in world/ local news that could impact HSBC; Global economy; Other industries i.e. latest innovation and technologies etc.
Be able to contribute to design solutions that must comply with applicable legal and regulatory requirements, supporting the Lead Process Optimisation Manager.
Have a good working knowledge and relationships with FCC Compliance, RC Compliance and FCC & RC Operations teams
Be able to articulate to stakeholders the targeted benefits for a change intervention.
Utilise financial skills to develop a high level business case where required, considering investment, high level benefits and sustainable saves.
Basic knowledge of banking, key domains and change industry.
Have basic knowledge of Compliance systems.
Complete all mandatory training courses and in addition, to complete at a minimum (per annum) one soft skill training and one technical training course relevant to the profession.
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.