24 ene
Hsbc
Xico
**LAM Transaction Monitoring Analytics Lead**
**Job Purpose**:
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 risks 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 Enterprise Risk Management Framework (ERMF).
These risks are referred as "Compliance risks" and comprise:
- Financial Crime and Fraud Risk
- Regulatory Compliance Risk
- Entity reporting to Country Chief Compliance Officer and functional reporting line into LAM Compliance COO.
**YOUR ROLE PURPOSE**
The Compliance COO Business Manager is individually responsible for:
- Proactively promote and communicate the value offering of the Compliance function across HSBC and with the region.
This will facilitate broader stakeholder engagement and accelerate profile building external to the Compliance function.
- Assist the Chief Compliance Officer with managing strategic governance and regulatory relationships, including close and continuous proactive personal engagement with key regulators.
- Effective operations of the Compliance function, ensuring appropriate budget and resourcing for the function (delegation of SMR responsibilities) as well as physical premises.
- Proving shared services supporting the Compliance function.
- Act as a gateway to third parties.
- Supervised offshored operational processes
**Principal Accountabilities:
key activities and decision making areas**:
**1.
FUNCTIONAL MANAGEMENT**:
**MI& Reporting**
- Facilitate smooth running of Compliance function by assisting all business support, management and admin activities including premises.
- Standardized, focussed, effective MI produced from a single source and used consistently to monitor and manage risks.
**Transformation**
- Define and manage the portfolio in alignment with broader organisational governance.
Create a portfolio strategy and forecast portfolio costs, monitor portfolio delivery and benefits against baseline and provide Management Information (MI) and communications on portfolio performance.
- Support identification and implementation of streamlining activities.
**Governance and secretariat**
- Dedicated team to support RC,
FC and COO with all governance and reporting matters to ensure consistency among countries and escalate appropriately any issues or weaknesses identified.
**2.
RISK MANAGEMENT**:
**Control Office**
- Ensures that Compliance management fully considers and effectively manages the risk and control environment.
- Track the closure of MSIIs and other issues, including providing reporting on the status of open issues owned by or impacting Compliance.
- Focal point with an exam management unit to service al inbound queries from internal and external instances (INA, Assurance, Regulators)
- AML Production orders
**Data & Product Management**
- Accountable for the development and maintenance of data management strategies, processes and organizational structures.
- Driving appropriate activity to support adoption of the data strategy and adherence to the Global Data Management Policy.
**3.
IDENTIFICATION, MEASUREMENT AND ASSESSMENT OF COMPLIANCE RIS**:
**Sanctions Investigations**
- Responsible for the co-ordination, investigation and escalation of potential sanctions risk events.
**Screening**
- Responsible for the co-ordination of potential Sanctions evasion risk events.
Requirements
**Certifications, Qualifications and Experience**:
- Strong knowledge and understanding of the external environment within Mexico
- regulatory, political, competitor and market
- Demonstrated business knowledge, ideally experience of leading a complex business unit within a global banking environment
- Practical experience of major business transformation with large scale project management experience
- Knowledge and understanding of Compliance within a complex global organisation.
- Proven experience as a senior leader in a complex organisation.
- Conversant in dealing with regulatory authorities
- Demonstrable experience dealing with and influencing internal and external senior stakeholders
- Experienced leader of functions in complex global institutions.
A track record of creating highly-motivated and cohesive teams.
- Excellent business judgement and a willingness to exercise it.
- Professional demeanour and possess considerable presence, impact and gravitas; able to command respect within the organisation and with the regulators.
- A 'completer-finisher'.
Self-starting and results-focused.
Proactive, energetic and resilient individual with a 'can-do'
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