Compliance Wpb Manager - Iztapalapa, México - HSBC

HSBC

Empresa verificada

Iztapalapa, México

hace 3 semanas

Publicado por:

Rodrigo Fernández

Reclutador de talento para beBee

Descripción

Manager Compliance WPB

Job Purpose:

COMPLIANCE

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 Regulatory and Financial Crime Compliance risks[1] 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 a Risk Steward for a number of non-financial risks in accordance with HSBC Group's risk framework.

The LAM/MX WPB Manager supports the LAM/MX Compliance Head for Asset Management & Wealth Management, Insurance, Retail & Retail BB, or Digital & Channels, who
is the senior accountable executive responsible for ensuring that HSBC's operations in LAM/MX are effective in identifying, managing and mitigating Regulatory Compliance and Financial Crime and Fraud risks and ensure timely advice is provided to the business.

The responsibilities of the LAM/MX WPB Manager are:

To support the Head of WPB for LAM/MX Asset Management & Wealth Management, Insurance, Retail & Retail BB, or Digital & Channels in relation to Regulatory Compliance and Financial Crime and Fraud risks.
Articulate the Regulatory Compliance and Financial Crime and Fraud risks for LAM/MX WPB.
Primarily to support WPB Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices. With primary focus on WPB area.
Provide advisory services to Wealth & Personal Banking business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.
Manage the relationship with relevant regulators on behalf of LAM/MX WPB.
Be responsible for second line governance of Regulatory Compliance and Financial Crime and Fraud risks exposures, providing analysis, reporting and governance to LAM/MX WPB that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure
Assist the senior management of LAM/MX WPB, the leadership of the Compliance function, and other colleagues on all material compliance related matters.

Represents the Compliance agenda up to the highest levels of the Group's governance, including being an attendee (as required) at the LAM/MX WPB forums (and related sub-committees) to report on progress and issues in relation to the operational effectiveness of HSBC's policies, processes, systems and controls in countering Regulatory Compliance and Financial Crime and Fraud risks.

Requirements

Principal Accountabilities:
The following principal accountabilities are aligned to the Compliance Services and Processes Model. Additional detail is available in the Model.

Oversee the critical Compliance policies and systems that impact LAM/MX WPB and ensure that the Group's exposure to Regulatory Compliance and Financial Crime and Fraud risks is managed in a commercially sensitive, practical and cost effective manner.
Provide advice and support on Regulatory Compliance and Financial Crime and Fraud risks to senior management, Compliance and other colleagues.

Customer / Stakeholders

Reporting to LAM/MX WPB Compliance Head as relevant on Regulatory Compliance and Financial Crime and Fraud risks matters.
Ensure that positive relationships are maintained with other external stakeholders relevant to the Compliance agenda.

Leadership and Teamwork

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 LAM/MX WPB Compliance capability.

Operational Effectiveness and Control

Follow a framework for the effective riskbased monitoring of the implementation of Regulatory Compliance and Financial Crime and Fraud risks related policies and controls across LAM/MX WPB.
Agree and oversee the implementation, embedding and monitoring of the adherence to the Compliance FIM in LAM/MX WPB.

Observation of Internal Controls

Managers are accountable for setting the 'tone at the top' which underpins the principles of a positive and effective internal control environment.

They should exhibit leadership and direction to their teams for establishing and maintaining an effective internal control environment, including the development and management of policies and procedures where appropriate.

Managers should also ensure that suitable processes are put in place to review and oversee that internal control environment against those polici