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Senior Regulatory Compliance Risk Analyst|
Impact on the Business
- Provides guidance, standards, and tools to assist the business in completing the CDSA.
- Assists in the identification of securities related regulatory risks by compliance obligation, assessable unit, and legal entity.
- Reviews completed risk assessments to ensure the assessments are comprehensive and the risk ratings are appropriate and fully supported, including a review of;
- Assessment of centralized operations and controls to be considered within business unit assessments;
- Inherent risk data relevant to each line of business and business unit;
- Open control issues – includes findings from regulators, internal audit, compliance testing and MSIIs; and,
- Relevant Group and Line of Business policies and procedures (list must be supplemented by the business to ensure it is comprehensive)
Customers / Stakeholders
- Provides formal reports regarding the evaluation of the effectiveness of controls in relation to laws and regulations impacting the business to senior Compliance and business management.
- Demonstrates strong knowledge of securities regulations and its impact across all business lines of HSBC. Actively engages with the LCOs and Risk Managers.
Leadership & Teamwork
- Promotes an environment that supports diversity and reflects the HSBC brand
- Provides project management support on compliance-related projects and initiatives to ensure they progress toward a common goal in alignment with agreed timelines.
- Drives excellence, consistency, and quality across the team.
- Collaborates and fosters good relations with the Compliance teams and Business areas.
- With senior management, leads by example, demonstrating core behaviors and values including teamwork, focus, drive, and determination.
Operational Effectiveness & Control
- Maintains familiarity with securities regulations and related KPIs.
- Demonstrates strong analytical and verbal /writing skills to articulate results of complex analyses/report findings.
- To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Ensures material risks are identified in the ERA process.
- Ensures proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries in Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators.
- Complete other responsibilities, as assigned
- Maintains awareness of and actively engages in activities across all business lines. Understands regulatory perspective on risk.
- Stays abreast of changes in the regulatory landscape and the impact it has on the businesses.
- Demonstrates a high degree of professionalism at all times.
- Escalates matters to senior management as needed.
- Works well independently, with minimal direction.
- Demonstrates a thorough understanding of policies and procedures pertaining to the role. Aware of what constitutes an effective control environment.
- Communicates effectively and professionally, and conveys the key information needed to ensure compliance goals are met.
Management of Risk
- Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues. The physical demands/work environment described above are representative of those that must be met by an employee to successfully perform the essential duties of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential duties.
- Physical Demands/Work Environment: Very good working conditions. Little or no physical demands. Minimal handling of light materials. The physical demands/work environment described above are representative of those that must be met by an employee to successfully perform the essential duties of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential duties.
Observation of Internal Controls
- Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Typical KPIs and Targets
- Effectively completes all yearly required Enterprise Risk Assessment’s as required.
- Effectively challenges business self-assessments to ensure proper identification of issues.
- Maintains thorough and current knowledge of regulations and business practices associated with the
role (measured by direct manager’s assessment).
- Helps ensure positive and professional working relationships with internal and external stakeholders (measured by stakeholder feedback).
- Maintains strong and proactive relationship with Compliance function colleagues and regulators (measured by stakeholder feedback).
- Provides effective advice, guidance, and support to business lines, support areas, operations, on accurate identification and measurement of risk.
- Delivers reports to the HNAH Board of Directors and Senior Management in quality manner and within required timelines.
- Exhibits strong desire to assist management in ensuring business practices evolve towards best in industry (measured by stakeholder feedback).
- Leads by example, fosters a positive work environment (as assessed by supervisor).
- Exhibits knowledge of emerging compliance-related trends and industry practices that enhance the overall team quality and performance.
- Influences the compliance culture in a positive fashion (measured by direct manager’s assessment).
- Ensures proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries in a timely manner
- Ensures that all deliverables for reviews, analyses, and regular reporting are consistently met in a quality manner.
- Analyses and recommendations are of high quality (measured by direct manager’s assessment).
- High quality completion of assigned projects and initiatives according to agreed timelines.
- Identify material risks via the CDSA and ERA process.
As you complete your online application, please use source code: Historically Black Colleges
and Universities. If you would like to notify HSBC's Diversity Recruiting team of your application, please e-mail
Qualifications & Requirements
- Minimum of 3-5 years proven and progressive financial services operations, compliance and/or legal management experience, or equivalent.
- Bachelor's degree in business, related field or equivalent experience; Master's degree preferred.
- Well-developed communications, negotiation, analytical, organizational, project management, and strategic and/or operational planning skills.
- Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and full understanding of all significant regulatory compliance requirements applicable to assigned business(es).
- Proven ability to accomplish high-level objectives in the context of annual business and compliance plans.
- Proficiency with personal computers, pertinent mainframe systems, and software packages
- ACAMS Certification a plus.