Avp Controls Assurance, Global Rcas

1 month ago

Hyderabad, India HSBC Full time

**Business**:Risk and Compliance Assurance Services

**Open positions:1**

**Role Title: Controls Assurance, Assistant Vice President**

**Global Career Band:5**

**Location **_(Country / City )_**:Hyderabad**

**Recruiter Name : Akshay5 Kumar**

**Why join us? **_(Overview of Dept./Function)_**

**Role Purpose**

The Group’s regulators require the Risk and Compliance function to assess the adequacy of the firm’s controls, processes, procedures and resulting outcomes to manage risk. This responsibility is met by the Risk and Compliance Assurance Services (RCAS) function.

RCAS is at the forefront of delivering innovative assurance solutions for and on behalf of HSBC’s 2nd line of Defence Assurance teams and Risk Stewards. Our industry leading senior management team supported by our specialist Centres of Excellence (CoE) will deliver an Assurance proposition that unlocks value for the Group, strengthens our control environment and delivers sustainable success

Controls Assurance (CA) is a sub-function within RCAS and is responsible for managing the assurance of key controls of critical business processes and specified non-financial and financial risks across the Group. In addition, Controls Assurance also works hand-in-hand with Automation and Analytics to develop, test and deploy their Continuous Assurance objectives.

Controls Assurance is data enabled assurance function that uses analytics in providing opportunity to test controls in efficient and effective ways. It covers all Financial Crime (FC), Regulatory Compliance (RC) risk taxonomies (AML, Sanctions, Anti-Bribery & Corruption and Fraud) and Operation and Resilience risk (ORR) across all businesses, functions and geographies of the Group. The division assesses, on an end-to-end basis where possible, the effectiveness of controls embedded in the first line of defence and those operated by the second line on their behalf, and represents an integrated part of the function in discharging its assurance responsibilities.

The role will be responsible for delivering assessments of assigned controls, in accordance with Controls Assurance procedures and the assessment plan.

The role holder will be required to support the VPs in assessing the effectiveness of assigned FC, RC, and ORR controls, identifying and raising issues where control gaps lead to material unaddressed risks.

At a high level, the role holder will be responsible for the following:

- Customise and localise standard test scripts and then evaluate assigned controls for design and operating effectiveness, raise issues as appropriate.
- Ensure that assigned control assessments are accurate, effective, abide by CA procedures and templates, and meet quality control requirements.
- Ensure that assigned control assessments are delivered on time, in accordance with the CA assessment plan.
- Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.
- Manage control owners and other stakeholders, ensuring the success of each assigned reviews, minimising contention where possible and requesting support where deemed necessary.
- Manage the documentation of distinct control types, covering key aspects, such as remit, main processes and handovers to other teams.
- Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.
- Develop and motivate the testing specialists through coaching and on-the-job training, ensuring the successful delivery of assigned control assessments.
- Support the VPs in fulfilling their CA responsibilities as required, including planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.

**What you’ll do**:_(List out Key Responsibilities)_**

**Principal Accountabilities: Key activities and decision making areas**

**Impact on the Business/Function**
- Lead a team of CA Managers in executing the CA assessment plan, ensuring the accurate, efficient and timely completion of independent FC, RC and/or ORR control assessments.
- Oversee the quality of work delivered by the testing specialists and ensure compliance with global template, procedure and quality requirements.
- Understand and document the remit, process composition and team handovers of relevant controls.
- Identify key emerging trends and themes in relation to FC, RC and ORR risks to inform the CA assessment plan and the continuous development of CA methodology and procedures.

**Typical Targets and Measures**
- Execution and delivery of assigned control assessments.
- Accurate, timely and reliable testing of FC, RC and/or ORR controls.
- Drive a consistent approach to CA testing activities across all LoBs / FC, RC and ORR themes, in accordance with standardised procedures.
- Meeting agreed deadlines and targets.
- Support the production of high quality management i

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