Principal Responsibilities
1.To conduct second line compliance
reviews for HTS / Global Functions as per the annual monitoring & testing
plan.
2.To test the adequacy of controls
in place within the business and to identify potential and actual breaches.
3.To escalate breaches identified
through testing to business and RC Senior Management to ensure that appropriate
action can be undertaken.
4.Prepare reports to inform key
stakeholders of the outcome of monitoring and review work, including rating
findings and assigning owners/actions.
5.Track recommendations and issues
identified and agreed in the final report to ensure that the issues have been addressed.
6.Manage the preparation of
Compliance Risk Assessments, drawing on the experience and knowledge RC team
and with the active participation of senior managers in the Business.
7. Assist the Head of Monitoring in
production, delivery and completion of Compliance monitoring plans which would
include periodic and themed reviews.
8.Contribute in the preparation of
consolidated MI on the results of the monitoring for Senior management in the
Business / RC / Region.
9.Ensure local monitoring
activities are in accordance with Global monitoring policies and conducted as a
second line of defence.
Educational Qualifications : Post
Graduate
Location : Maharashtra ,Mumbai
Qualifications/Requirements:
1.Good understanding and experience of
regulations pertaining to HTS / Global Functions. Exposure to RBI/SEBI/IRDA/HKMA regulations.
2.Post Graduate in business
management, accountancy or related field. May also hold professional
certification (CA, MBA, CIA).
3.Understanding of the activities
of RBWM business lines and associated compliance risks.
4.Strong interpersonal skills with
the ability to communicate effectively at all levels and to engage with senior
HSBC staff within the functions.
5.Excellent written communication
skills – ability to communicate complex regulatory issues in writing.
6.Previous experience of Compliance
Monitoring, Internal Audit, BRCM or Supervisory reviews desirable.
7.Organisational, planning,
interpersonal, managerial, analytical, problem-solving, decision-making, and
team building skills.
8.Ability to work under pressure
and within tight time-lines
