Compliance Risk Specialist
6 days ago
HSBC'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.
The Compliance Assurance controls testing (CACT) team is responsible for determining the effectiveness of HSBC'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 (Anti Money Laundering, Sanctions, Anti-Bribery & Corruption and Fraud) across all businesses, functions and geographies of HSBC.
Key Responsibilities- Customize and Localize Test Scripts: Evaluate assigned controls for design and operating effectiveness, raising issues as appropriate.
- Ensure Accuracy and Quality: Ensure that assigned control assessments are accurate, effective, abide by Compliance Assurance procedures and templates, and meet quality control requirements.
- Deliver Assessments on Time: Ensure that assigned control assessments are delivered on time, in accordance with the Compliance Assurance assessment plan.
- Supervise Delivery: Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as necessary.
- Manage Stakeholders: Manage control owners and other stakeholders, ensuring the success of each assigned review, minimizing contention where possible and requesting support where deemed necessary.
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