List Management Analyst
Graduate job London (Greater London)
Job description
Role Purpose
· In-line with the current regulatory and policy requirements, HSBC is committed to ensuring compliance with all sanctions’ regulations and developing the highest and most effective standards for Financial Crime Compliance.
· The List Management Utility team will monitor and control all watch lists used in sanctions’ screening systems worldwide, with a focus on ensuring that all governance is met as described in the HSBC Global Sanctions’ and AML policies and guidance. The team will work to high standards in a controlled process
- driven environment with regular interaction with all regional Financial Crime Compliance teams.
· This is a unique opportunity to work at one of the world’s leading investment banks in a cutting-edge compliance function, developing a global governance framework within sanctions screening.
This role will specifically:
· Maintain requests to add, amend or delete list items to internal watch lists
· Process any authorised change requests with respect to list usage and distribution
· Validate list management control points as it pertains to list maintenance
· Ensure that all Global Sanctions’ watch list instructions are compliant with current global regulations and policy standards
Principal Accountabilities: Key activities and decision making areas
Impact on the Business
· Maintain all screening lists with respect to defined procedures
· Ensure all changed list data is communicated to specified internal teams and departments
· Complete periodic reviews of lists and list Items
Customers / Stakeholders
This role will have regular interaction with:
· Local and Regional Heads of Sanctions
· Global List Management Committee
· List data maintenance teams
· Sanctions Screening technical/operations teams
Leadership & Teamwork
· Work as a member of a dynamic team
· Support quality assurance analysts as required
· Provide training to other team members
Operational Effectiveness & Control
· Enforce governance and controls for changes to all list data, clearly showing end-to
- end audit trails
· Work in an audited, controlled environment
· Track all change requests
· Maintain internal watch lists
· Enforce the controlled environment of List Management Utility Team processes and procedures
· Understand the end-to-end instruction process, including the interaction of dependant systems
· The List Management Utility Team roles are auditable, quantifiable, process-control
- driven tasks
· Respond to and resolve all queries in a timely manner
Major Challenges
· To ensure that the Bank is fully compliant with sanctions and AML policy and Regulations pertaining to list management for sanctions’ screening
· To effect all and any changes or remediation or respond to any requests for information resulting from the obligations put upon the Bank arising from the deferred prosecution agreement (DPA)
Role Context
· This role is London-based, responding to and working with Global Financial Crime Compliance teams
· The List Management Utility team acts as gatekeepers and will monitor and maintain internal watch lists
Management of Risk
· This role will maintain the List Management Risk Register
Observation of Internal Controls
· You will be required to maintain HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators
· All aspects of this role must comply with Global Sanctions’ programme and audit controls
Role Dimensions
· This role is global in reach
Desired profile
Knowledge & Experience / Qualifications
Qualifications
· Degree or industry-standard qualification in a legal, regulatory or compliance discipline
Experience
· Have a minimum 3 years’ experience in the finance industry
Knowledge
· Microsoft Excel, MS Access (preferable)
We are an equal opportunity employer and are committed to creating a diverse environment.