Manager, Compliance Assurance

3 days ago

Kuala Lumpur, Kuala Lumpur, Malaysia HSBC Full time

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
  • Perform the activities of MYH CA team and other ASP sites in accordance with CA methodology; and contribute to the execution of assurance activities, ensuring that all relevant standards, policies and procedures remain fit for purpose and are subject to continuous assessment.
  • 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.
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