崗位職責(zé):

Impact on the Business

Site Compliance Risk Management
- To discharge the compliance officer accountabilities by pro-actively assisting management in identifying and containing compliance risk, reporting and certification, fostering a compliance culture and optimizing relations with regulators
- To support GSC management for its secure functioning and corporate governance through advice and management of regulatory and reputational risks
- To nurture / improve the compliance culture within the site

Regulator
- Foster good relationship with regulators in conjunction with Business Partner (BP) and/or Onshore RC
- Coordinate / manage regulator visits to the GSC

Financial ROP
- Ensure the department operates with approved financial ROP for the year.
Accomplish the financial ROP for the upcoming year
- Utilize resources efficiently while maintaining high level of support to local site

Customers / Stakeholders
Site Senior Management, Operations, and Business Service
- Manage relationships and interact with GSC site senior management, Operations and Business Service (BS) by effectively communicating compliance issues and drive improvements.
- Establish close working relationship with the Centre Director, and the Operations process heads


Business Partner / Onshore Compliance
- Maintain a cooperative relationship with BP/Onshore RC , and, support them in managing the compliance risk for the work in the GSC site
- Ensure all processes on site receive adequate compliance oversight and resource to fulfill BP/Onshore RC expectations, i.e. delegated responsibilities are effectively addressed.

Risk, Migrations, and other enabling functions
- Implement Business Line Compliance (BLC) responsibilities in the Compliance Monitoring and Testing (CMAT) Terms of Reference (ref. RACI)
- Work with other Risk control functions to be effective, efficient and consistent
- Close coordination with other enabling functions, especially, Migrations and Capacity Management.

Operational Effectiveness & Control
- Drive efficiency and enhance effectiveness of compliance investigations and reviews.
- Identify and share best practices across sites and Operations teams to achieve alignment of risk management approach where applicable
- Maintain up to date MI and reporting

Leadership & Teamwork

Leading and Planning
- Fulfil the Local RC Officer responsibilities as per Global Risk – Compliance FIM B2.1 for his/her GSC site/ legal entity
- Produce, agree and implement an Annual Compliance Plan that adequately reflects the accountabilities, compliance risks and resources needed to do the job

Team management
- Recruit, retain, develop and motivate GSC RC staff to become professional, knowledgeable, cost-effective, efficient and motivated to support all business units covered by RC’s remit.
- Cultivate an environment that supports diversity and reflects the HSBC brand

- Minimum of 5 years of experience in legal, compliance or general audit preferably within a banking/financial institution
- A relevant degree of a good standard evidencing ability to analyze and apply legal or other principles and standards
- Excellent influencing and negotiating skills
- Ability to analyze and implement complex legislation and regulations
- Technical proficiency and confidence in applicable BP’s country regulations and their practical application in the GSCs/BS
- Ability to speak and understand English fluently, write professional letters and reports, and high conversational skills
- At least 1-2 years management experience, involving regular communication with senior management, and staff development
- Ability to build rapport with and relate to a wide range of people and develop an effective compliance culture

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