(OI-699) Lam/mx Analyst Sanctions Coe

(OI-699) Lam/mx Analyst Sanctions Coe

**LAMMX Analyst Sanctions CoE**
Rol porpuse:
- To manage and comply with the requirements of the FC Sanctions Policy, Local Regulation and the Group’s procedures.
- Responsible to investigate and confirm True Matches as a result of Name and Transaction screening alerts escalated from L1 and L2 in Risk Ops.
- Review of manual screening cases provided by the LoBs(Trust, SPEI, GTRF, Credit and Debit Cards, Sustainability, HR, Corporate Real Estate, Vendor)
- To provide advisory to the LoBs.
- To reject transactions as applicable in case of a Sanctions risk is identified.
Requirements
Principal Accountabilities:
Impact on the Business




- Review and investigate real time payment alerts from Wolf as escalated by Level 1 and 2 from Risk Operations.
- Review and investigate the sanction matches from OWS escalated by the Level 2 screening teams.
- Review of manual screening cases provided by the LoBs (Trust, SPEI, GTRF, Credit and Debit Cards, Sustainability, HR, Corporate Real Estate, Vendor).
- Escalate all confirmed sanctions and policy breaches for appropriate action including reporting to FC Sanctions Advisory.
- Deal with processing Treasury authorizations and dispensations as required.
- To coordinate LAM businesses, all Sanctions, Terrorist and Group searches issued by Group Compliance. Provide advice and guidance on any follow-up action required and ensure records are appropriately evidenced. Arranges for closure of accounts as required following confirmation of matches.
- Provide ‘backup’ support to the other Sanctions team peers to ensure adequate coverage for any holidays or sickness.
- Ad hoc tasks including production of specialist reports as requested by the Senior Compliance Manager - Sanctions,



Compliance Manager - Sanctions or as required by Regional Head of Sanctions.
Customers / Stakeholders
- LoBs
- FC Sanctions
- FCI
Leadership & Teamwork
- Lead by example, demonstrating core behaviors and values including teamwork, focus, drive and determination.
- Foster a close working relationship with local Compliance teams including the business, keeping abreast of key business developments and any changes to procedures and practices.
- Work collaboratively across peer group and organization.
Operational Effectiveness & Control
- Undertake periodic risk based functional reviews of sanctions controls as required by Legal and Compliance FIM to ensure relevant businesses have appropriate systems and controls to comply with the UN/EU/UK/US, Local Regulation and HSBC Group sanctions requirements.



Take steps to ensure weaknesses are escalated to appropriate senior business and compliance management and action points are monitored to satisfactory conclusion.
- Monitor changes to business practices and products to ensure that advice in respect of Sanctions are adjusted adequately to cover them.
Major Challenges: - Keeping abreast of all Sanctions regulatory developments together with changes to Group policies in order to ensure appropriateness of advice. This will require proactive review of the relevant external authorities’ websites and appropriate interpretation of the requirements.
- Fostering and maintaining an attitude of ‘can do’ within the Regional Head of Sanctions and the wider Sanctions Compliance Function.
- Supporting decisions with sound reasoning and rationale.




- Clearly articulating business and regulatory implications of analysis and findings to both Compliance colleagues and Senior Business Management.
Role Context:
- Exercise a leadership role, providing a highly professional, competent and skilled service to the Businesses through your team.
- Exercise any/all delegated authorities with due care and diligence.
- Take decisions based on your knowledge and experience.
- Think proactively and come up with ideas for enhancements.
Management of Risk: - Be aware of the Operational Risk, primarily Business Regulatory Risk, associated with the business.
- Actively manage Sanctions risks associated with specialist Compliance team(s) located remotely.
- Proactively alert business of highest risks when they arise.
The jobholder will ensure the fair treatment of our customers is at the heart of everything we do, both personally and as an organisation.




This will be achieved by consistently displaying the behaviours that form part of the HSBC Values and culture and adhering to HSBC risk policies and procedures, including notification and escalation of any concerns and taking required action in relation to points raised by audit and/or external regulators.
The jobholder is responsible for managing and mitigating operational risks in their day to day operations. In executing these responsibilities, the Group has adopted risk management and internal control structure referred to as the ‘Three Lines of Defence’. The jobholder should ensure they understand their position within the Three Lines of Defence, and act accordingly in line with operational risk policy, escalating in a timel

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