Senior Compliance Monitoring and Testing Manager - Financial Crime Compliance

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

Senior Compliance Monitoring and Testing 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 Compliance Monitoring and Testing Manager.

Principal responsibilities

  • Responsibilities include implementing standards for testing methodologies, techniques and procedures, execution of robust quality standard programme, management of the risk prioritization process and providing guidance on the development of a testing program library
  • As part of the regional Asia Pacific Financial Crime Compliance Monitoring and Testing team, oversee the activities of Asia Pacific Financial Crime Compliance Monitoring and Testing in country teams
  • Promote and support a risk minimizing culture in alignment with the culture transformation and Compliance's role as the second line of defense
  • Deliver an effective second line of defense compliance testing programme, aligned with the Compliance Monitoring and Testing model operationalized globally across business units, countries, and functions
  • Maintain continuous oversight of collection and dissemination of any regulatory, Compliance Monitoring and Testing and audit issues in order to provide ongoing advice and guidance to Financial Crime Compliance Senior Management regarding issues which may affect HSBC Compliance, Anti Money Laundering and Sanctions programmes
  • Successfully complete Anti-Money Laundering and Sanctions training and post-course assessment, as required

  • Experience in financial services operations, compliance, audit or legal management or equivalent
  • Bachelor's degree in related field such as business, finance, law or equivalent experience
  • Understanding of compliance and risk controls, relevant regional laws, regulations and overall regulatory environment
  • Broad scope of knowledge of businesses, including products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the region
  • Excellent communication skills
  • Proven ability to question, evaluate, and improve existing business processes and adequacy of information
  • Proven ability to accomplish high level objectives in the context of annual business and compliance plans
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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