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As part of Global Risk, Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC's regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities with regard to complying with the regulations and helps resolve compliance deficiencies.
We are currently seeking a high caliber professional to join our team as Senior Monitoring and testing Manager, Global Markets.
Function effectively within a matrix organisational structure, collaborating with Compliance teams supporting global regions and diverse products to facilitate appropriate levels of information sharing and coordination related to Compliance Testing.
Lead or oversee cross business programs, projects and initiatives related to Compliance Testing, management strategy and project management.
Coordinate the governance of the Annual Plan, in conjunction with the Head of Monitoring and Testing, Regulatory Compliance.
Keep Compliance, Business and Functional management informed of significant matters and oversee a governance process designed to communicate timely and relevant information to Senior Management as well as Local or Regional Management, via both established dashboards and other vehicles.
Lead or oversee issue resolution, to include the initiation, development and delivery of products, programs and strategies responsive to the issues.
Participate in the oversight and enhancement of the Compliance Testing infrastructure in support of reporting, capacity planning, plan development, administration and analysis of testing outcomes across testing areas.
Continually review and optimise the Test strategy to eliminate redundancy and duplication, identify process gaps.
Coordinate organisational structure, budget and other administrative functions related to the Hong Kong and Regional Monitoring and Testing organization.
Proven relevant business, audit experience or equivalent.
Strong risk assessment, control and testing skills and preferably audit related experience.
Audit related certification preferred
Relevant experience of a wide range of business activities, product lines and regulatory topics
Proven organizational, planning, interpersonal, managerial, analytical, problem solving, decision making, and team building skills.
Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely.
Ability to work with and also to lead different cultural groups and build consensus.
Excellent communication skills both oral and written in English.
The chosen candidate for this role will be required to undergo enhanced vetting. Subject to local laws, this will require the individual to satisfactorily pass a series of additional checks as part of the recruitment process and on an ongoing basis, if appointed to the role. HSBC Group reserves its position with regard to any steps which it may take in relation to any material adverse findings which arise either when the checks are originally completed, and/or if relevant, on an ongoing basis. For more information about the enhanced vetting for this role please contact the recruiter for this role.
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