Vp Compliance Assurance

2 months ago

Kuala Lumpur, Malaysia HSBC Full time

-Job description

**Why join us?**
- HSBC is one of the world’s largest banking and financial services organizations. We serve more than 40-million customers through our global businesses: Wealth and Personal Banking, Commercial Banking, and Global Banking & Markets. Our network covers 64 countries and territories in Europe, Asia, the Middle East and Africa, North America and Latin America.
- This is a role within the Compliance Assurance (CA) sub-function, which provides assurance activities over regulatory compliance (RC) and financial crime (FC) risks.
- The role holder will be required to lead and contribute to assurance reviews across multiple Global Businesses/ Functions in the the region and manage effective relationships with colleagues and stakeholders.
- The role holder will not have direct line management responsibility but may lead other assurance individuals in the delivery of assigned work.

**What you’ll do**:

- 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.
- Lead review teams in delivering specific testing requirements within the assurance programme. Evaluate and manage the allocation of resources on an ongoing basis to ensure completion of reviews.
- Build strong relationships with all internal stakeholders, adopting a cohesive approach to the execution of tasks with minimum conflict. Develop/maintain positive and professional relationships with external stakeholders, while ensuring the independence of an assurance function. Provide stakeholders with timely, concise insight into assurance activities.
- Contribute to the production of high quality CA deliverables, through effective quality control at each stage of the CA review life-cycle, i.e. Terms of Reference issuance, fieldwork completion and reporting. Set the highest standards through personal behaviour, interaction with others and in the expectations set for colleagues. Drive a high performance culture across the team through effective leadership, engagement and collaboration. Help drive high operational standards within the team, avoiding high risk findings from Internal Audit or other internal/external evaluative teams.
- Proactively monitor relevant risks to identify key emerging trends and themes/ topics for assurance review. Through effective analysis of key information, support the identification and communication of emerging trends that may impact the effectiveness of the CA sub-function.
- Help lead senior level regional consultation regarding the review plan and execution, identified issues and issue closure. Drive the provision of consistent MI on the issues identified through CA activities.
- Be innovative in executing all responsibilities, providing solutions to complex issues in a high-risk environment. Ensure effective communication across CA, delivering key messages and strategic updates as appropriate.
Requirements

**What you will need to succeed in the role**:

- Minimum of 5 years proven experience in assurance, audit, compliance or risk management within financial services or other major industries.
- Clear understanding of regulatory compliance and financial crime risk within within the global financial services industry; exposure to Global Markets and/or Retail Banking is preferred.
- Experienced people manager, with excellent communication skills, and a proven track record of leading through change.
- Capable of building positive and resilient partnerships with key stakeholders including local and regional stakeholders.
- Proven ability to question, evaluate, and improve existing business processes and adequacy of information.
- Minimum Bachelor’s degree in related field such as business, finance, law or equivalent experience; Chartered Accountant preferred.
- Experience developing assurance automation and analytics tools preferred.
- Strong English language skills (written and spoken) and proficient with Microsoft Office.
- Fluent in both oral and writing Cantonese is preferred but not essential.

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