Senior Anti Money Laundering Investigations Manager - Financial Crime Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 25 Sep 16

Senior Anti Money Laundering Investigations Manager - Financial Crime Compliance

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Financial Crime Compliance aligns current activities within Global Risk and helps to build these into a more integrated framework to conduct Customer Due Diligence which enables HSBC to manage financial crime risk more effectively. It builds stronger controls to improve the way Financial Crime Compliance risks are managed in order to spot gaps as well as trends so that the team can take action. It proactively gathers and analyses financial intelligence in a smart way so that suspicious transactions, activities or connections can be identified and we can adequately protect our customers from the threat of financial crime.

We are currently seeking a high caliber professional to join our team as Senior Anti Money Laundering Investigations Manager.

Principal responsibilities

  • Support the Regional Head of Anti Money Laundering Investigations to oversee the anti money laundering, counter terrorist financing and proliferation finance collectively referred to herein as Anti Money Laundering cases, within the Region
  • Oversee the Investigation of all cases within the region according to a scope of work agreed with the Group Head, Anti Money Laundering Investigations
  • Implement a framework within the countries to retrieve and analyse relevant information, which may include some or all of the following, Customer Due Diligence records, transaction records, Relationship Manager correspondence files, email, shared drives, external media reports, Non governmental or governmental reports, alerts, cases, Suspicious Activity Reports and production orders
  • Implement processes for the gathering and preservation of evidence according to applicable legal, regulatory or law enforcement rules of custody and disclosure
  • Establish contemporaneous Group policy and procedures, regulation or criminal legislation applicable to relevant business units or geographies in order to benchmark conduct
  • Cue and manage appropriate internal stakeholders including Group Legal, Customer Due Diligence advisory, Financial Crime Compliance Operations, Financial Crime Compliance surveillance, Regulatory Affairs, Corporate Affairs, Technology and Operations and the businesses
  • Ensure a coordinated, all informed response to the identified risk
  • Ensure internal and external stakeholders, including regulatory bodies and law enforcement are fully briefed where appropriate
  • Draft, review and issue investigation reports, including root cause analysis and agreed recommendations for change with relevant risk type owners
  • Generate regional risk and operational metrics for the programme to inform senior management of cases accepted, underway and concluded, with summary outcomes and noted trends. Track recommendations and agreed actions, including client exits, to ensure completion
  • Support the Improvement, and where necessary, drafting of Anti Money Laundering investigations policy.
  • Engage with regional Financial Crime Compliance assurance to agree monitoring and review of Regional Anti Money Laundering investigation work to provide independent comfort that cases are investigated competently, proportionately and promptly
  • Determine and implement documentation standards to demonstrate competent, proportionate and prompt Anti Money Laundering investigations within the region
  • Successfully complete Anti Money Laundering and Sanctions training and post course assessment, as required


Qualifications
Requirements
  • Degree holder in related disciplined
  • Seasoned professional with experience in one or more senior risk compliance roles, to include significant Anti Money Laundering experience
  • Extensive knowledge of Anti Money Laundering regulations and guidance
  • Significant experience in the financial services industry
  • Advanced investigative skills from law enforcement, regulatory, forensic accountancy or legal disputes experience
  • Lateral thinker with an ability to interpret and solve complex issues
  • Numerate, evidence based analytical skills founded on an empirical base
  • Proven and excellent Global leadership skills or ability to matrix manage
  • Excellent communicator with strong interpersonal and influencing skills
  • Experience developing an assurance model and developing or leading a review team
  • Experience in leading assurance work in a complementary discipline. Audit would be an advantage
  • Ability to lead change, contributing to joining up with the other teams in Risk and Business globally
  • Experience of dealing with regulatory matters and confident interaction with Regulators
  • Ability to develop practical, cost effective solutions to complex global issues
The chosen candidate for this role will be required to undergo enhanced vetting. Subject to local laws, this will require the individual to satisfactorily pass a series of additional checks as part of the recruitment process and on an ongoing basis, if appointed to the role. HSBC Group reserves its position with regard to any steps which it may take in relation to any material adverse findings which arise either when the checks are originally completed, and/or if relevant, on an ongoing basis. For more information about the enhanced vetting for this role please contact the recruiter for this role.

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