Conduct Office Manager - Azcapotzalco, México - HSBC
Descripción
Some careers have more impact than others.If you're looking for a career where you can make a real impression, join GSC HSBC and discover how valued you'll be.
We are currently seeking an experienced professional to join our team in the role ofConduct Office Manager
Role purpose:
The US Compliance Services Conduct Office team in Mexico provides direct support to the US Compliance function which enables the business to deliver sustainable growth by embedding a risk management culture to comply with letter and spirit of relevant regulations to deliver fair outcomes for customers.
This role will support the US Conduct Office, which includes 'Complaint Management; Customer/Market Conduct; and the Unfair, Deceptive, or Abusive Acts or Practices (UDAP/UDAAP) Program', as well as additional, enterprise-wide compliance functions required to maintain an effective Compliance Program.
Main activities:
- Retrieve and review external publications from regulators and governing bodies to identify industry trends, topics, or keywords that demonstrate examples of firm misconduct at other institutions.
- Provide key metrics and supporting data and information to support the internal conduct risk assessment process.
- Access key databases to retrieve information and reports that identify internal issues, controls, events, and reviews that relate to key risks associated with conduct.
- Develop knowledge of conductrelated regulatory expectations, principles, and standards.
- Review existing data and information for key terms, phrases, or outcomes that may require further analysis.
- Track the resolution of subsequent risk management actions as appropriate.
- Retrieve the monthly system complaint report, organize pivot tables for graphs and summary.
- Retrieve the complaint data detail report to identify open and closed overdue regulator complaints.
- Promote and sustain a riskmanagement culture in alignment with Regulatory Compliance's role as the Second Line of Defense.
Leadership & Teamwork
- Promotes an environment that supports diversity and reflects the HSBC brand
- Provides project management support on compliancerelated projects and initiatives to ensure they progress toward a common goal in alignment with agreed timelines
- Drives excellence, consistency, and quality across the team
- Collaborates and fosters good relations with the Compliance teams
- Speaks up when issues are identified
- Leads by example, demonstrating core behaviors and values including leadership, teamwork, navigation, and advocacy
Customer
- Maintains a good working environment with key stakeholders globally.
- Advises Compliance management on issues with process, technology, and data quality
- Assists with identification, tracking and communication of exceptions; escalates any significant data quality and process issues to management
Operational Effectiveness & Control
- Maintains HSBC internal control standards and alignment with regulatory requirements, HSBC Group policies and other related policies and procedures.
- Provides support to ensure assigned area is aligned to regulatory requirements, the Compliance Manual and other Group policies
- Assists in supporting regulatory and business requests
- Escalates significant issues through proper contacts, ensuring a proactive identification of process and risk issues
- Provides support to Compliance in developing and maintaining reports and data to align with overall objective of the Compliance Risk Management initiatives
- Bachelor's Degree or equivalent professional qualification in compliance, law, economics, accountancy, or similar field
- Strong analytical skills and the ability to support decisions with sound reasoning and clearly articulated justifications
- Strong collaboration, communication, and stakeholder management skills, with the ability to think laterally and solve problems
- Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business
- Proficiency with Microsoft Office
- Experience in Financial / Banking Services industry
- High level of professional and personal integrity
- Strong English verbal and written skills
**Issued by HSBC Electronic Data Processing (México) Private LTD
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