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Financial Crime and Compliance Capabilities

hace 5 meses

Tlahuac, México HSBC A tiempo completo

-Job description

**Role Purpose**:
The Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage as “Risk Owners” the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Compliance function is Risk Steward for a number of non-financial risks in accordance with HSBC Group’s Risk framework.

The LAM/MX Subdirector Market Conduct & Climate Risk is responsible, along with LAM/MX Head of Market Conduct, LPR & Climate Risk, for supporting the business and functions, to ensure HSBC manages regulatory compliance risks appropriately in LAM and MX. The role is broad and responsibilities include:

- Participate in the oversight and advice on high-level Regulatory Compliance (RC) risk related matters and the assessment of current and forward-looking aspects of RC risk exposure.
- Working closely with the Compliance Officers, to establish RC standards and policies and support in risk appetite in relation to the RC risks, as well as for Climate Risk. Contribute in the implementation and operational effectiveness of standards and policies, to ensure RC risks are managed appropriately.
- Support Compliance Officers in the development and implementation of a consistent and embedded Regulatory Compliance risk management framework and, where relevant and working closely with the Compliance CCO, lead the development of systems, processes and other capabilities that support risk management.
- Co-ordinating a consistent global approach to managing relationship with its regulators, and, in conjunction with the Compliance Officers, ensuring timely reporting and disclosure of relevant information both to regional regulators and within the Group, about regulatory concerns and engagements.
- Manage the identification and analysis of regulatory developments and work with the Compliance Officers and their teams to advise Risk Stewards and 1LoD on those developments, and support them to understand and map the regulatory requirements applicable to them to the wider HSBC control framework.
- Supporting RC Risk Stewards to perform their role effectively, in order to:

- Consolidate, analyse risk information and identify compelling actions for senior stakeholders to action;
- Track actions and regularly assess the effectiveness of the risk steward role;
- Provide ongoing training, communication, refinement and full embedding of RC Framework.
- Ensure consistent views within the Compliance function of RC risks exposure, and, in conjunction with the CCOs, providing analysis, reporting and governance that is independent of 1LoD, thereby maintaining an objective assessment of relevant RC risk exposures.
- To exercise risk steward challenge, act as independent trusted advisory, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
- Assist the leadership of the Compliance function, and other colleagues on regulatory compliance related matters

**Principal Accountabilities and Responsibilities**:
**Impact on the Business**
- Oversee the critical Compliance policies and systems and ensure that Group’s exposure to Regulatory Compliance risks is managed in a commercially sensitive, practical and cost effective manner.
- Provide advice and support on Regulatory Compliance to Senior Management, Compliance and other colleagues.

**Customer / Stakeholders**
- Reporting to LAM/MX Head of Market Conduct, LPR and Climate Risk on all Regulatory Compliance risks matters.
- Ensure that Senior Management and other Compliance Colleagues are appropriately advised of material Regulatory Compliance matters.
- Foster a strong relationship with all relevant regulators and ensure timely disclosure of relevant information, in relation to Regulatory Compliance related matters.
- Build and maintain positive relationships with internal and external stakeholders.

**Leadership and Teamwork**
- Leadership and development of the Regulatory Compliance function, liaising closely with functional reports and (where relevant) with local line managers. The role holder will have functional responsibility for the management of Regulatory Compliance FTEs in the region.
- Maintain and develop positive and professional working relationships with senior business managers and Compliance colleagues at the group level and those in other regions and businesses.
- Create an environment for the delivery of consistent performance measurement, training, career management and succession planning across the region.
- Establish a strategy for the sharing of Regulatory Compliance risks related compliance knowledge and best practice across the region and the wider Compliance functi