Head of Compliance Assurance Lam Wpb

**Head of Compliance Assurance LAM WPB**

**Role Purpose. **This role within Compliance Assurance (CA) LAM contributes to and implements the ongoing strategic activities of the independent CA sub-function for the WPB Businesses in LAM. CA is responsible for assurance activity over all compliance risk-related controls, whether operated within the first or second line of defence for any Global Business or Function. The role holder will formulate an end-to-end view on the effectiveness of WPB’s compliance risk management in the region and has responsibility for overseeing all CA activity in Uruguay.

This role will report to the Regional Head of Compliance Assurance Mexico and LAM and in some cases will deputise for them.

The role holder will be responsible for developing and maintaining strong relationships with senior regional business management and other stakeholders, including the Heads of the WPB Businesses and Compliance senior management. In addition, they will be required to attend both regional and country committees, as defined locally.

**Main activities**:

- Execute the global CA strategy in LAM WPB to assess the effectiveness of compliance controls in the first line and the effectiveness of Compliance teams as Risk Stewards.
- Inform Risk Owners, Control Owners and Risk Stewards of the design and operational effectiveness of the controls within their area of oversight and control, helping to identify if remediation is required.
- Escalate significant control deficiencies in a timely manner.
- Drive team deliverables to ensure they are accurate and consistently of the right standards of quality and completeness.
- Proactively monitor and identify key WPB emerging risks and/or trends to ensure ongoing development of the assurance programme to address them.
- Drive consistent reporting and escalation of issues identified through CA activities.
- Operate within the Risk Management Framework, aligning for example to risk assessment methodology and prioritisation of risks, controls and issues.
- Discharge the relevant accountabilities as set out in the Group Standards Manual and applicable FIMs

Requirements

**Functional Knowledge**
- Extensive WPB, RC and FC knowledge, with extensive experience in assurance or testing activities.
- Relevant external financial services qualification.
- Clear understanding of regulatory and financial crime compliance risk within the global financial services industry.
- Excellent people manager with proven people management capabilities
- Capable of building positive and resilient partnerships with key senior stakeholders.
- Lateral thinker with an ability to interpret and solve complex issues.
- Proven leader with experience in driving a large, complex function located in multiple jurisdictions.
- Excellent communication skills with very strong inter-personal and influencing skills.
- Track record of leading independently and working autonomously.
- Strong decision-making capability.

Strong English language skills (written and spoken) and fluency in local language (written and spoken) preferred.
- H_SBC is committed to building a culture where all employees are valued, respected and where their opinions count. We want to build a culture where our employees are comfortable in bringing their whole self to work, regardless of gender, age, sexuality, ethnicity, disability, religious belief, background, and any other aspect of personal difference. At HSBC we are oriented towards guaranteeing gender equality and constant training for our employees as well as the protection of their labor and social rights._
- “At HSBC we offer our collaborators a greater number of days so that they can fully enjoy their wedding, take care of the new member of the family or mourn the loss of a relative. Our paid vacation package is at the forefront in Mexico, now you have one more reason to be HSBC and proudly live a culture of well-being, balance and care”_