Whistleblowing Oversight Manager

Job description

Role Title: Whistleblowing Oversight Manager
Business: Regulatory Compliance
New or Existing Role? New
 
Role Purpose
As a result of increased regulatory scrutiny resulting in requests for information and investigation, Regulatory Compliance is in the process of establishing a Regulatory Investigations framework which will be accountable for the oversight and management of both internal and external regulatory investigations and the management of Whistleblowing investigations.
HSBC currently operates a number of Whistleblower, Integrity and Security Hotlines, with limited centralised tracking of what happens to each case. In Q3 2015, Phase 1 of the Whistleblowing Enhancement Programme will go live, with the objective of combining the multiple lines to the minimum required by local law and regulation. The project supports the recommendations of the Parliamentary Commission on Banking Standards and the draft joint FCA/PRA rules on whistleblowing reporting.
At present, the Whistleblowing Enhancement Programme supports both the Programme and Business-As-Usual (BAU) activities; Global Assurance also supports some of the BAU activities relating to Compliance Disclosure Cases.
The purpose of this role is to support the successful transition of Whistleblowing activities from the Whistleblowing Enhancement Programme to BAU, supporting the centralisation of tracking of cases, the production of legal entity board reports and management information, and to act as the coordination point between case capture and investigations on a global basis. As the transition of whistleblowing activities continues to develop, so too will the accountabilities and responsibilities of this role.
 
Key Accountabilities
Impact on the Business
Assist with the review of BAU investigation processes across the group and provide analysis of operational effectiveness, including the identification of any gaps/inconsistencies in processes
Assist with the transition of Whistleblowing activities from the Whistleblowing Enhancement Programme to Business-As-Usual
Preparation of consistent, timely and accurate MI for Consideration of Group Holdings sub Board Committees including CVC, GAC and FSVC as required by law and regulation and as required by forthcoming Senior Manager Regime requirements
Identify and implement best practice across the organisation to enable the highest operational standards
Administration of the Whistleblower Working Group and Oversight Forum
Administration of non-HR Whistleblowing cases (direct emails and correspondence to Global Head of Regulatory Compliance)
Support individual Whistleblower queries
 
Customers / Stakeholders
Liaison with multiple internal stakeholders including Security and Fraud Risk, Legal, HR, Audit and Financial Crime Compliance
Ensure that internal and external regulatory requirements are met
Ensuring that stakeholders are appropriately advised of material regulatory compliance issues
 
Leadership & Teamwork
Perform the Whistleblowing Oversight Management role in accordance with direction provided by line management.
Strong teamwork with other Regulatory Compliance colleagues and external stakeholders, establishing and maintaining productive working relationships to ensure commonality and consistency of solutions
 
 
 
Operational Effectiveness & Control
Adherence to operational controls, as outlined in procedures and policies to ensure risks are identified and managed
Efficient use of technology/specialist systems associated with Whistleblowing
Robust and timely record keeping
 
Major Challenges
Maintaining a global perspective whilst being knowledgeable and compliant with regional/local regulatory requirements.
Implementing and managing a uniform approach to whistleblowing cases and any associated unique issues, requirements and problems.
Rapidly developing an accurate understanding of the Whistleblowing process and supporting systems.
Dealing assertively but sensitively with internal and external customer demands and conflicts
 
Role Context
The responsibilities of the Regulatory Compliance Investigations team include being accountable for the oversight and management of both internal and external regulatory investigations conducted by a Skilled Person.
This is a new role in a recently established team, so the role holder must be able to work comfortably within a fluid and developing environment.
The role holder is expected to work openly and collaboratively with their line manager and colleagues. The role holder will interact with key stakeholders (internal and external to Regulatory Compliance) and will be comfortable dealing with colleagues at all levels of seniority. 
The role holder will be required to use their initiative to find solutions to problems and deal with items accurately and promptly, referring and escalating items to team members as appropriate, to ensure that risks are being properly managed.
 
Management of Risk
Utmost discretion in dealing with confidential matters as the role holder will have access and exposure to business sensitive information, including potentially price sensitive information and Global Internal Investigation Group (GIIG) cases.
The jobholder will ensure the fair treatment of our customers is at the heart of everything we do, both personally and as an organisation.
The jobholder will 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.
 
Observation of Internal Controls
Maintains HSBC internal control standards, including adherence to all relevant procedures, keeping appropriate records and timely implementation of internal and external audit points together with any issues raised by external regulators.
Implements Group Compliance Policy, as applicable to the role. The term ‘compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply.
To assist in the discharge of accountabilities set out in the Global Risk FIM by proactively assisting Regulatory Compliance Managers in their responsibilities to assist management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimising relations with regulators.

Desired profile

Knowledge & Experience / Qualifications
Knowledge and understanding of:
The HSBC Group and working in a matrix organisational structure
The changing regulatory environment, interpretation of Regulators’ rules and guidance together with other relevant regulations, codes and HSBC Group Standards
Regulatory Compliance, covering a wider range of business areas
Internal systems including HR Direct and SCION (preferred but not essential)
 
Experience and proven ability:
Excellent written and verbal communication skills
Strong Interpersonal skills, confident and able to build/maintain relationships at all levels with both internal and external customers
Delivery-focused with attention to detail, ensuring tasks are completed on time and to the required levels of quality
Able to work independently, proactively and prioritise workload effectively in line with business priorities
Ability to distil varied data into information
Good process analysis and problem solving skills
Resourceful, creative and inquisitive approach to highly complex tasks
Proven learning capability in a changing environment
Energetic, enthusiastic and strong team player
Highly motivated, robust and accountable
IT skills including Excel, Powerpoint and Word
Strict adherence to the requirements of confidentiality; discretion and integrity essential
 
 
 
 
We are an equal opportunity employer and are committed to creating a diverse environment.