31 ene
Hsbc
Xico
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**LAM/MX Manager Compliance MSS****Role Purpose.
**The Compliance function is a Second line of defense (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 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.
**Main activities**:- The LAM/MX Compliance Wholesale Manager is a Compliance SME to the LoB covering the following areas of expertise: Global Markets, HSS, Research, CMB segments, Broker dealer and products such as GTRF and GLCM.- Articulate the Regulatory Compliance and Financial Crime and Fraud risks for LAM/MX Wholesale.- Primarily to support Wholesale 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 wholesale area.- Provide advisory services to CMB segments in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.- Be responsible for second line governance of Regulatory Compliance and Financial Crime and Fraud risks exposures, providing analysis, reporting and governance to LAM/MX Wholesale that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposure- To exercise risk steward challenge,
act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.- Assist the senior management of LAM/MX Wholesale, 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 Wholesale 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**:**Requirements & **Abilities**- Significant experience as a regulator,
or a senior compliance manager across all areas of Compliance risk within a global firm, in the financial services industry.- 3 yers of experience developing compliance for derivates and markets- Significant leadership experience and an experienced strategic thinker.- Excellent communication and inter-personal skills, with experience of dealing with executives at all levels
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