Job description
Regional Senior Manager Compliance, Global Private Banking & Wealth (0000GCNP)
GCB 04
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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 Regulatory and Financial Crime Compliance 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 a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework.
In this role, you will:
- To assist and represent the Regional Head of Private Banking Compliance Advisory, MENAT in discharging their compliance responsibilities in respect of GPB/WPB.
- The responsbilitties of the incumbent cover the GPB & wealth business within MENAT and include the provision of advice to business and Compliance teams on compliance matters,
- Assisting and training business on relevant regulations and compliance policies and to complete MI & data reporting locally, regionally, Group,to HSBC Private Bank (Suisse) SA and HSBC Bank Middle East for goverance purposes.
- The role requires strong partnership with the GPB & wealth business and leadership team and has responsibility for driving the implementation of policies, regulations and ensuring that a conduct and compliance led culture is embedded within the businesses.
- The job holder must keep up to date on changes in the regulatory environment and industry developments in relation to the business.
- The job holder assists and deputises for the Regional Head of Private Banking Compliance Advisory, MENAT in their role of CO and MLRO responsibilities referenced in DFSA AML rule 11.4 DFSA GEN rules 5 and 7.
- Represent Compliance in key decision making sub-committees of RMM and ExCo as allocated and delegated
- Advice and guide Compliance Assurance team to undertake thematic reviews of the business/activities to evaluate compliance with all relevant laws, regulations, codes and internal policy/procedures.
- Review and impact assess Regulatory changes under Compliance stewardship
- Manage the Risk Steward check and challenge and risk action tool on HELIOs and discharge Risk Steward oversight responsibilities
- Support Compliance engagement and interface with the business management meetings and issues assessment.
- Advice on complex change programs as allocated by line manager.
- Supervisory review of Compliance Risk Assessments.
- Oversee FIM implementation into the business and local policies/manuals where compliance is a risk.
- Meet local/regional/FINMA/Group led regulatory reporting and ad-hoc projects as required.
- Accountable for working with Global Compliance stakeholders on extra-territorial regulations and Global policies for impact assessment and implementation.
- Ensure roll out of best practice within the GPB MENAT offices and support the offices as required.
To be successful in the role, you should meet the following requirements:
- Strong exposure in HSBC Group offices in risk and control functions.
- Proven analytical skills, together with the ability to support decisions with sound reasoning.
- Strong influencing and stakeholder management skills.
- Good knowledge and understanding of Local UAE regulators, DFSA, and FSRA requirements.
- Experience of UAE onshore, DFSA and FSRA regulatory Environment
- Excellent command of written and oral English skills.
- University degree required
For further details and application information please visit our careers site, searching under reference number 0000GCNP
HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.
Issued by The Hong Kong and Shanghai Banking Corporation Limited.
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