Manager, Compliance Assurance

2 weeks ago

Kuala Lumpur, Kuala Lumpur, Malaysia HSBC Full time

Why join us?

  • The Group's regulators require the Compliance function to assess the adequacy of the firm's controls, processes, procedures and resulting outcomes to manage risk. This responsibility is met by the Compliance Assurance (CA) sub-function.
  • Compliance Assurance are responsible for determining the effectiveness of the Group's financial crime and regulatory controls, independent of Control Owners (who are responsible for day-to-day monitoring). Compliance Assurance covers all Financial Crime (FC) and Regulatory Compliance (RC) risk taxonomies across all businesses, functions and geographies of the Group. The division assesses, on an end-to-end basis where possible, the effectiveness of prioritised FC and RC controls embedded in the first line of defence and those operated by the second line on their behalf,and represents an integrated part of the function in discharging its assurance responsibilities.

What you'll do:

  • The role will be responsible for delivering assessments of assigned risks and controls, in accordance with Group-wide Assurance procedures and the Compliance Assurance assessment plan.
  • The role holder will be required to support in assessing the effectiveness of assigned FC and/or RC controls, identifying and raising issues where control gaps lead to material unaddressed compliance risks.
  • At a high level, the role holder will be responsible for the following:
  • Customise and localise standard test scripts and then evaluate assigned controls for design and operating effectiveness, raise issues as appropriate.
  • Ensure that assigned control assessments are accurate, effective, abide by Compliance Assurance procedures and templates, and meet quality control requirements.
  • Ensure that assigned control assessments are delivered on time, in accordance with the Compliance Assurance assessment plan.
  • Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.
  • Manage control owners and other stakeholders, ensuring the success of each assigned reviews, minimising contention where possible and requesting support where deemed necessary.
  • Manage the documentation of distinct control types, covering key aspects, such as remit, main processes, and handovers to other teams.
  • Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.

Impact on the Business:

  • Execute the Compliance Assurance assessment plan, ensuring the accurate, efficient and timely completion of independent FC and/or RC control assessments.
  • Ensure compliance with global template, procedure and quality requirements.
  • Understand and document the remit, process composition and team handovers of relevant controls.
  • Identify key emerging trends and themes in relation to FC and RC risks to inform the Compliance Assurance assessment plan and the continuous development of CA methodology and procedures.

Customers / Stakeholders:

  • Build strong relationships with all internal stakeholders, adopting a joined-up approach to the execution of tasks with minimum conflict, while ensuring the independence of Compliance Assurance.
  • Ensure that executive and senior management in the business, functions and Compliance are advised of matters arising, and emerging trends, from assurance reviews and analysis.
  • Provide stakeholders with insight into Compliance Assurance activities.
  • Liaise with Internal Audit as needed to ensure that assurance activities and plans take full consideration of and inform audit activity.

Leadership & Teamwork:

  • Provide timely and clear guidance and support to testing specialists on review basis.
  • Contribute to the production of high-quality Compliance Assurance deliverables.
  • Set the highest standards through personal behaviour, interaction with others and in the expectations set for CA.
  • Embrace a high-performance culture through effective proactive engagement and collaboration.
  • Ensure effective communication across CA, delivering key messages and strategic updates as appropriate.

Operating Effectiveness & Control:

  • Contribute to the development of Compliance procedures and templates, ensuring high operating standards within the division.
  • Drive high operational standards within the team and avoid high risk findings from Internal Audit or other internal/external Assurance teams.
  • Be innovative in executing all responsibilities and providing solutions to complex issues in a dynamic, high-risk environment.
  • Support the CA team in meeting the requirements of the sub-division.
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