Manager, Compliance Assurance

2 weeks ago

Kuala Lumpur, Kuala Lumpur, Malaysia HSBC Full time

  • Job description

Some careers have more impact than others.


If you're looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.


HSBC is one of the largest banking and financial services organisations in the world, with operations in over 60 countries and territories.

We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions.


HSBC's Second Line of Defense Compliance Assurance (CA) provides risk-based testing of the Regulatory Compliance (RC) and Financial Crime (FC) risk and control activities to provide reasonable assurance that the business (including services provided to the business) is operating in line with relevant laws, regulations, HSBC Group standards and ensuring that HSBC delivers fair outcomes for our customers and does not disrupt market integrity.

The bank's assurance model will operate consistently in all countries to deliver greater transparency and consistency of the reporting of global RC and FC risks.

We are currently seeking an experienced professional to join our team in the role of
Manager, Compliance Assurance.

Role Purpose


The purpose of this role is the performance of risk based reviews and other activities in relation to the CA program.

At a high level, the role holder is responsible for:

  • Assisting the Head of Compliance Assurance, MYH in the planning and execution of the MYH CA plan and therefore have a good understanding of compliance risks for the business.
  • Contributing to a standardized assurance approach covering assurance activities aligned to the Risk Management Framework.
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, and internal controls; maintaining quality assurance of the relevant CA program.
  • Building and maintaining strong, professional relationships with internal stakeholders (e.g. Regional and Global Heads of CA, Business and CA stakeholders), promoting and demonstrating the value and effectiveness of CA.
  • Supporting the Regional/Country Head of CA in coordinating with Internal Audit, Operational and Resilience Risk and other assurance functions to align plans to prevent duplication, excessive or deficient assurance and identify key priorities.

Impact on the Business

  • Ensure CA activities provide adequate coverage of the Group's key compliance risks, liaising with Global Compliance teams.
  • Support the identification of appropriate review scope and contribute to preparation of the country CA Indicative Annual Plan.
  • Contribute to the provision of education and support to CA specialists on planning and conducting reviews.
  • Prepare reports to inform key stakeholders of the outcome of review work, including rating findings and assigning owners/actions; 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.
  • Contribute to the preparation of consolidated management information on the results of reviews across the different sites for Senior Management in the Business and Compliance.
  • Foster a close working relationship with key stakeholders in the region and in the country.
Requirements

  • Minimum of 5 years proven relevant business, audit experience or equivalent.
  • Strong risk assessment, control and testing skills and preferably audit related experience.
  • Audit related certification preferred (such as CPA, CIA, CAMS, or similar).
  • Relevant experience of a range of business activities, product lines and regulatory topics.
  • Knowledge of financial services and able to demonstrate an understanding and appreciation of the challenges facing the global financial services industry and the changing regulatory landscape surrounding compliance organisations within the banking industry.
  • Experience in operating within a complex global financial services institution and building positive and professional relationships with regulators.
Strong analytical, organisational, project management, and strategic and/or operational planning skills. Lateral thinker with an ability to interpret and solve complex issues.

  • Excellent communicator with strong collaborative, interpersonal and influencing skills.
  • Ability to work with and also to lead different cultural groups and build consensus.
  • 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 on timely basis.

Opening up a world of opportunity.
**Issued by HSBC Bank Malaysia Berhad

  • Manager, Compliance Assurance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Hong Leong Bank Full time

    If you are looking to excel and make a difference, take a closer look at usJob Summary:Incumbent is responsible to independently review the Banking Group's existing processes and to provide advisory and solutions to ensure compliance to regulatory requirements. Act as an independent unit to review and detect regulatory non-compliance by the Business and...

  • Compliance Assurance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia TRanglo Full time

    Senior/Junior Level Implement and monitor the Compliance Assurance Program Coordinate closely with the Regulatory Compliance Team in the planning of the annual Gap Analysis and Compliance Monitoring & Testing Facilitate the Regulatory Compliance Team in the execution of Gap Analysis Advise, liaise and work closely with the respective stakeholders before,...

  • Compliance Quality Assurance Manager

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia British American Tobacco Full time

    BAT is evolving at pace - truly like no other organisation.To achieve the ambition, we have set for ourselves, we are looking for colleagues who are ready to live our ethos every day. Come be a part of this journeyBAT DIGITAL BUSINESS SOLUTION IS LOOKING FOR A COMPLIANCE QUALITY ASSURANCE MANAGERSENIORITY LEVEL:Mid-Senior Management LevelFUNCTION: ESCOE...

  • SO-AVP, Compliance Assurance Review, Compliance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia United Overseas Bank Ltd. Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: MGR, Compliance Assurance Review, Compliance Posting Date: 28 Apr 2024 Location: Kuala Lumpur, Wilayah Persekutuan, MY Company: United Overseas Bank (Malaysia) Bhd About UOBUnited Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of...

  • Assurance Assistant Manager

    5 days ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Ecovis Malaysia PLT Full time

    Reports to : Partner / DirectorSupervises : Assurance teamJOB SUMMARYThe Assurance Assistant Manager will manage assurance engagements by defining the audit strategy in consultation with the senior manager/ partner, and execute it in compliance with Ecovis Malaysia PLT's policies and protocols. When required, he will personally execute complex audit...

  • Manager, Compliance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Chubb INA Holdings Inc. Full time

    Regulatory Compliance To develop, establish and/or maintain an effective and broadbased compliance assurance program designed to establish compliance standards and to monitor, detect and prevent compliance deficiencies including recommending corrective actions when necessary to fully meet compliance requirements. To conduct gap analysis and monitor the...

  • Manager, Quality Assurance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Malaysia Airline Full time

    Job Title: Manager, Quality Assurance (Safety & Investigation)Reports To: Head, Quality AssuranceRole Purpose: Provide guidance and direction of MAB Airline Engineering's SMS, responsible to the Head Corporate Safety Oversight on safety management matters and ensure compliance to CAA Malaysia regulations and requirements. Perform, approve and evaluate...

  • Senior Finance Manager

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Link Compliance Full time

    Our client is a leading partner of Google Cloud and Amazon Web Services, as well as a trusted ally of Microsoft Azure, GAP is a key player in cloud technology. They specialize in crafting customized cloud solutions to meet the unique needs of each business.Job Responsibilities:Monthly accounts reconciliation and business performance reviews...

  • Senior Finance Manager

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Link Compliance Full time

    Our client is a premier partner of Google Cloud and Amazon Web Services, and a trusted partner of Microsoft Azure, providing tailored cloud solutions to suit client's business needs. Job Responsibilities: Prepare monthly accounts reconciliation and conduct business performance reviews. Undertake day-to-day finance and accounting functions which includes...

  • Compliance Officer

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia PineBridge Investments Full time

    We are currently looking for a Compliance professional to join our Malaysia office.Responsibilities for this position are as follows:Regulatory/Core compliance: Oversee the Malaysia entity to ensure its compliance with local laws and regulations; Monitor regulatory developments, perform gap analysis and advise senior management, Board of Directors and...

  • Manager, Compliance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Hong Leong Bank Full time

    If you are looking to excel and make a difference, take a closer look at usOverviewThe incumbent to report to the Head, Compliance (Financial Crime Compliance Control, Advisory & Assurance) in establishing the Anti-Money Laundering/Counter Financing of Terrorism (AML/CFT) and Sanction framework for the Group through effective implementation.Key...

  • General Manager

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Link Compliance Full time

    Job Title: General Manager - Automotive DistributorJob Overview:The General Manager is responsible for the effective management and profitability of the automotive distribution operations. This includes strategic planning, sales and marketing, customer service, financial management, and personnel development. The GM ensures the distribution center operates...

  • General Manager

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Link Compliance Full time

    Job Title: General Manager - Automotive Distributor Job Overview: The General Manager is responsible for the effective management and profitability of the automotive distribution operations. This includes strategic planning, sales and marketing, customer service, financial management, and personnel development. The GM ensures the distribution center operates...

  • Manager, Regulatory Compliance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Prudential plc Full time

    Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...

  • Assistant Manager, Compliance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Prudential plc Full time

    Prudential's purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our...

  • Quality Assurance

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Recruit Express Full time

    Principal FunctionAs a Quality Assurance (QA) and Regulatory Affairs (RA) Executive, you will play a key role in ensuring compliance with relevant regulatory requirements and maintaining the highest standards of quality across our organization. You will collaborate closely with cross-functional teams to implement and maintain quality management systems and...

  • Quality assurance

    3 days ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Time'S Group Full time

    Quality Assurance / Quality Control Specialist Quality Assurance & Control (Manufacturing, Transport & Logistics) Ensure compliance with quality assurance and quality control policies and procedures at the construction site. Conduct regular inspections and audits to verify adherence to project specifications and standards. Identify and resolve any quality...

  • Shariah Compliance, Consultant

    2 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia AIA Full time

    FIND YOUR 'BETTER' AT AIA We don't simply believe in being 'The Best'. We believe in better because there's no limit to how far 'better' can take us._ We believe in empowering every one of our people to find their 'better' in the work they do, the career they build, the life they live and the difference they make. So that together we can support even more...

  • Quality assurance

    4 weeks ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Recruit Express Sdn Bhd Full time

    Quality Assurance & Regulatory Affairs Executive (Mandarin Speaker) #MSL Description Job ScopeImplement quality assurance policies and procedures to ensure compliance with applicable regulations and standards.Support all aspects of the Quality Management System including updating QMS manuals, SOPs and forms, conducting internal audits, and follow-ups on...

  • Quality assurance

    2 months ago

    Kuala Lumpur, Kuala Lumpur, Malaysia Recruit Express Sdn Bhd Full time

    Quality Assurance & Regulatory Affairs Executive #MSL Description Job ScopeImplement quality assurance policies and procedures to ensure compliance with applicable regulations and standards.Support all aspects of the Quality Management System including updating QMS manuals, SOPs and forms, conducting internal audits, and follow-ups on NC/CAPA.Investigate and...