AVP Compliance Assurance

Why join us?

• HSBC is one of the world’s largest banking and financial services organizations. We serve more than 40-million customers through our global businesses: Wealth and Personal Banking, Commercial Banking, and Global Banking & Markets. Our network covers 64 countries and territories in Europe, Asia, the Middle East and Africa, North America and Latin America.
• This is a role within the Compliance Assurance (CA) sub-function, which provides assurance activities over regulatory compliance (RC) and financial crime (FC) risks.
• The role contributes to the global standardised CA approach ensuring that it 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 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 and contribute to assurance reviews across multiple Global Businesses/ Functions in the region and manage effective relationships with colleagues and stakeholders.
• The role holder will not have direct line management responsibility but may lead other assurance individuals in the delivery of assigned work.

• Support the design and execution of assurance activities, ensuring that all relevant standards, policies and procedures are met. Provide subject matter expertise to and advise colleagues, supporting the identification of appropriate review scope and delivery of assurance activities.
• Inform Risk Owners, Control Owners and Risk Stewards of the design and operational effectiveness of the controls within their area of oversight and control. Escalate significant control deficiencies in a timely manner, and proactively identify key emerging compliance risks across the Global Businesses/ Functions.
• Build strong relationships with all internal stakeholders, adopting a cohesive approach to the execution of tasks with minimum conflict. Develop/maintain positive and professional relationships with external stakeholders, while ensuring the independence of an assurance function. Provide stakeholders with timely, concise insight into assurance activities.
• Support the production of high quality CA deliverables, through effective quality control at each stage of the CA review life-cycle i.e. Terms of Reference issuance, fieldwork completion and reporting. Support high operational standards within the team, avoiding high risk findings from Internal Audit or other internal/external evaluative teams.
• Set the highest standards through personal behaviour and interaction with others and in the expectations set for colleagues. Demonstrate effective teamwork, engagement and collaboration within CA.
• Be innovative in executing all responsibilities, providing solutions to complex issues in a high-risk environment.
• Drive the provision of consistent MI on the issues identified through CA activities. Through effective analysis of key information, support the identification and communication of emerging trends that may impact the effectiveness of CA.