Offers “HSBC”


Regulatory Conduct Capabilities

  • Cuauhtémoc (Cuauhtémoc)
  • Sales

Job description

Job description

 LAM/MX Head of Market Conduct, LPR & Climate Risk


Role Purpose

The Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage as “Risk Owners” the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Compliance function is Risk Steward for a number of non-financial risks in accordance with HSBC Group’s Risk framework.

The LAM & MX Head of Market Conduct, LPR & Climate Risk is responsible for supporting the business and functions, to ensure HSBC manages regulatory compliance risks appropriately in LAM and MX on three main pillars: Market conduct regulation, climate risk and licensing regulatory related matters. The role is a key risk management role with a broad remit and responsibilities including:

·  The effective oversight and advice on high-level Regulatory Compliance (RC) risk related matters and the assessment of current and forward-looking aspects of RC risk exposure wh.
·  Working closely with the Compliance Officers, to establish strategic RC standards and policies and support in setting risk appetite limits in relation to the RC risks (specifically, for inappropriate market conduct and regulatory licencing, permissions and rules), as well as for Climate Risk. Oversee the implementation and operational effectiveness of standards and policies, to ensure RC risks are managed in a commercially sensitive, practical and cost manner.
·  Support Compliance Officers in the development and implementation of a consistent and embedded Regulatory Compliance risk management framework and, where relevant and working closely with the Compliance CCO, lead the development of systems, processes and other capabilities that support risk management.
·  Co-ordinating a consistent global approach to managing relationship with its regulators, and, in conjunction with the Compliance Officers, ensuring timely reporting and disclosure of relevant information both to regional regulators and within the Group, about regulatory concerns and engagements.
·  To own and manage the identification and analysis of regulatory developments and work with the Compliance Officers and their teams to advise Risk Stewards and 1LoD on those developments, and support them to understand and map the regulatory requirements applicable to them to the wider HSBC control framework.
·  Supporting RC Risk Stewards to perform their role effectively, in order to:
·  Consolidate, analyse risk information and identify compelling actions for senior stakeholders to action;
·  Track actions, challenge the senior management and regularly assess the effectiveness of the risk steward role;
·  Provide ongoing training, communication, refinement and full embedding of RC Framework.
·  Ensure consistent views within the Compliance function of RC risks exposure, and, in conjunction with the CCOs, providing analysis, reporting and governance that is independent of 1LoD, thereby maintaining an objective assessment of relevant RC risk exposures.


Principal Accountabilities and Responsibilities ( e.g., for Business, Customers and Stakeholders; internal control environment, etc.)

Impact on the Business

·  Oversee the critical Compliance policies and systems and ensure that Group’s exposure to Regulatory Compliance risks is managed in a commercially sensitive, practical and cost effective manner.
·  Provide advice and support on Regulatory Compliance to Senior Management, Compliance and other colleagues.

Customer / Stakeholders

·  Reporting to LAM/MX Head of Regulatory Conduct on Regulatory Compliance risks matters. 
·  Ensure that Senior Management and other Compliance Colleagues are appropriately advised of material Regulatory Compliance matters.
·  Manage and foster a strong relationship with all relevant regulators and ensure timely disclosure of relevant information, in relation to Regulatory Compliance related matters.
·  Ensure that positive relationships are maintained with internal and external stakeholders.

Leadership and Teamwork

·  Provide leadership and develop the Regulatory Compliance function, liaising closely with functional reports and (where relevant) with local line managers. The role holder will have functional responsibility for the management of Regulatory Compliance FTEs in the region, with the exception of those in the Compliance Assurance team.
·  Maintain and develop positive and professional working relationships with senior business managers and Compliance colleagues at the group level and those in other regions and businesses.
·  Create an environment for the delivery of consistent performance measurement, training, career management and succession planning across the region.
·  Establish a strategy for the sharing of Regulatory Compliance risks related compliance knowledge and best practice across the region and the wider Compliance function.

Functional Management:

·  Operate in accordance with agreed KPIs and to the requirements of the Compliance Operating Model.
·  Proactively develop the Regulatory Conduct team’s activities to continue to help the Function navigate the regulatory landscape as that landscape evolves.

Support all parts of the Compliance function, including by regular communications and reporting and work in a collaborative

Functional Knowledge and skills


·  Strong knowledge and understanding of the external environments - regulatory, political, competitor and market.
·  Demonstrated business knowledge, ideally experience of leading a unit within a global banking environment.
·  Broad and deep product knowledge across banking or extensive cross-functional experience within a global bank.
·  Practical experience of major business transformation with large scale project management experience.
·  Knowledge and understanding of Compliance within a complex global organization.
·  Proven experience as a senior leader in a complex organization.
·  Conversant in dealing with regulatory authorities at a senior level.
·  Excellent communication and inter-personal skills, with experience of dealing with executives at all levels.
·  Excellent business judgement and willingness to exercise it.
·  Self-starting and results-focused. Proactive, energetic and resilient individual with a ‘can-do’ approach;
·  Capable of inspiring and influencing colleagues both upwards and downwards and internally and externally.
·  Proven capability of exceptional critical thinking, creativity, and innovation in developing new concepts or theories.
·  Acting as the highest level authority and source of technical knowledge. 
·  Excellent people management skills with proven motivation and leadership skills.
·  Ability to manage and mitigate operational risk effectively.

“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”

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