Senior Manager, Private Banking Compliance
High Risk Role
Within HSBC certain roles are designated as High Risk Roles. High Risk Roles are those where employee malpractice could lead to significant financial and/or reputational damage through internal fraud, data loss, bribery or the leaking of confidential information. For these roles, all internal and external applicants are required to undergo a range of enhanced security/background checks as part of the pre-employment vetting process.This role has been designated as a High Risk role and any candidate hired into this role would be subject to this vetting. In the event that you are short-listed for this role, further details are available from the HSBC Recruitment team on our enhanced security/background checking processes.
Principal Accountabilities:
Impact on the Business
Manage regulatory and reputational risk by providing appropriate Compliance coverage and expertise
Proactively assist management in identifying and containing compliance risk.
Undertake regular reviews of relevant PB MENA businesses /activities in order to evaluate compliance with all relevant laws, regulations, codes and internal policy/procedures. Produce concise reports in a timely manner and follow up on the implementation of all recommendations.
Provide periodic training to the business in procedures and practices necessary to achieve compliance.
Assist with Group/regulatory reporting and ad-hoc projects as required.
Ensure roll out of best practice within the HSBC offices in the Middle East region, and support the offices as required.
Customers / Stakeholders
Regional Head - Regulatory Compliance
Regional Head Financial Crime Compliance
Compliance Head - Global Private Banking
Leadership Teamwork
Drive strategy and proactively advise business from a compliance perspective, on all new initiatives.
Appropriate interpersonal skills to be effective in the role
Strong, persuasive personality required to cope with challenging business situations.
Demonstrate core behaviors and values including teamwork, focus, drive and determination.
Staying abreast of key business developments and any changes to procedures and practices.
Work collaboratively across peer group and organisation.
Collaborate and foster good relations with other Compliance teams/ colleagues.
Operational Effectiveness Control
Compliance coverage/support for the business will reduce compliance, business and operational risk for the business area.
Present practical and effective recommendations to mitigate business regulatory risk
Monitor changes to business practices and products to ensure that the Compliance coverage is focused accordingly
Knowledge Experience / Qualifications
Experience of private banking/high end retail banking essential.
Business, Compliance or Audit experience preferred.
Proven analytical skills, together with the ability to support decisions with sound reasoning.
Proven ability to clearly articulate business and regulatory implications of analysis and findings.
Proven strong interpersonal skills with the ability to communicate effectively with both Compliance colleagues and the Business.
Graduate preferred.
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