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    Vice President - Mumbai, India - HSBC

    HSBC
    HSBC Mumbai, India

    5 days ago

    HSBC background
    Permanent - temps plein
    Description

    Some careers open more doors than others.

    If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

    Regulatory Compliance

    As part of Global Risk, Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC's regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities with regard to complying with the regulations and helps resolve compliance deficiencies.

    Role Purpose :

    The role of the Vice President Regulatory Affairs involves following responsibilities:

  • Scan for legal and regulatory instruments issued by relevant authorities, including laws, subsidiary legislations, directions, guidelines, codes, practice notes, circulars, and information papers.
  • Prepare regulatory instruments received for dissemination , summarising, proposing risk rating, assessment of impact to the Global Businesses, DBS, and Global Functions etc.
  • Coordinate gathering of feedback to consultation papers that impact the Bank, which entails consolidating, reviewing, and clarifying the feedback as well as proposing amendments to improve quality of the feedback.
  • Update compliance chart and regulatory mapping with the latest regulatory developments.
  • Active management of regulatory relationship; create and maintain regulatory engagement records.
  • Overall management of regulatory inspections and oversight on all other regulatory reviews.
  • Monitor and disseminate changes in HSBC policies as well as initiate periodic reviews.
  • Update relevant Department Instruction Manuals (DIMs) and maintain various listings.
  • Foster a positive culture of compliance by working proactively with Lines of Businesses, DBS, Global Functions and Compliance professionals to ensure best practices are followed in accordance with applicable laws, rules, regulations, and internal policies.
  • Work with Country Compliance team members to monitor conduct risk and provide regular updates.
  • Ensure guidance on conduct risk is reflected in appropriate polices and procedures

    • Principal Accountabilities :

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

    Impact on the Business / Function

  • To promote and sustain a risk-management culture in alignment with Regulatory Compliance's role as the second line of defence.
  • To proactively identify and support in management of significant new or emerging risks, and their potential impact on HSBC.
  • To track resolution of subsequent risk management actions as appropriate
  • Defining and adopting best practice through collaboration with key business partners to enable the highest operational standards.
  • Supporting review of periodic or ad-hoc reports or information provided to Compliance and to take necessary actions if required.

    • Customers / Stakeholders

  • Work / liaison closely with relevant stakeholders in Businesses and Functional teams to provide expertise and support on all Regulatory Compliance related matters.
  • Build strong relationships, adopting a joined-up approach, to execute processes at pace and with minimum conflict.
  • Ensure that business operates using accepted industry-standard methodologies, practices, processes and principles.
  • Ensure appropriate timely and relevant risk information is provided to Businesses and Functional teams.

    • Leadership & Teamwork

  • A strong team player to collaborate with Compliance colleagues and other stakeholders to ensure commonality and consistency.
  • Share best practice with Compliance colleagues and support a high-performance culture.
  • Agree responsibilities within formal and informal network, providing context, direction and confidence to deliver results.
  • Support and encourage constructive teamwork by demonstrating collaboration.

    • Operational Effectiveness & Control

  • Maintain and observe all HSBC control standards, implement and observe the Group FIM, Compliance policy and procedures. Consistently apply policy and governance frameworks, procedures, practices and standards to ensure quality and effective regulatory compliance advice and guidance.
  • Support continuing implementation and improvement of processes, capabilities and infrastructure needed to effectively manage RC risks in a changing environment.
  • Maintain awareness of operational risk associated with role and responsibilities and minimize likelihood of recurrence. Resolve identified issues promptly, and escalate concerns as appropriate.

    • Major Challenges

    HSBC has a diverse business with activities that span a universal banking model, including continuing to innovate to keep abreast of changes in financial services markets globally.Such activity is in an increasingly regulated and complex global environment and regulators taking more proactive approach in ensuring local compliance with their requirements and imposing increasingly stringent sanctions for breaches.

    Role Context

    The jobholder is required to work independently and in a team. Where items of major consequence are involved, or where there is disagreement on a significant issue, the jobholder should refer the issue to supervisors.

    Management of Risk

    The role holder will continually reassess the Regulatory Compliance and Financial Crime risks inherent in country, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology. This will be achieved by ensuring all actions take account of the likelihood of Compliance risk occurring and by addressing any areas of concern in conjunction with line management and/or the appropriate department.

    Observance of Internal Controls

    The jobholder will adhere to and be able to demonstrate adherence to internal controls. This will be achieved by adherence to all relevant policies and procedures, keeping appropriate records and, where appropriate, by the timely implementation of internal and external audit points, including issues raised by external regulators. The jobholder will implement the Group Compliance policy by containing compliance risk in liaison with the relevant Compliance Department. The term 'compliance' embraces all relevant financial services laws, rules and codes with which the business has to comply. This will be achieved by adhering to all relevant processes/procedures and by liaising with 1LOD (First Line of Defence) and 2LOD (Second Line of Defence) stakeholders about new business initiatives at the earliest opportunity. Also, and where applicable, ensure adequate resources are in place and training is provided, fostering a compliance culture and optimizing relations with regulators.

    Requirements
  • Degree or equivalent professional qualification preferably in Law, Accounting, Management, Finance or similar fields.
  • More than 6 years of experience working in Compliance including providing advice on regulations.
  • Good understanding of risk management or regulatory compliance risks.
  • Strong collaboration, communication, and stakeholder management skills with ability to think laterally and solve problems.
  • Excellent written and verbal communication skills in English.
  • Strong analytical skills and ability to support decisions with sound reasoning and justifications.
  • Delivery focused with attention to detail, and on time delivery with required levels of quality.
  • Ability to work independently, proactively and under pressure against multiple deadlines; with minimal supervision; and a flexible approach to working hours and responsibilities.

    • Useful Link

    Link to Careers Site: Click

    You'll achieve more at HSBC.

    HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment.

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