Avp Compliance Assurance Services, Gsc’s

1 month ago

Hyderabad Telangana, India HSBC Full time

-Job description

**Some careers have more impact than others.**

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.

HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions.

We are currently seeking an experienced professional to join our team in the role of AVP Compliance Assurance Services, GSC’s **for Hyderabad and Kolkata location**

**The Opportunity**:

- The Group’s regulators require the 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 Compliance Assurance (CA) sub-function.
- Compliance Assurance controls testing are responsible for determining the effectiveness of the Group’s financial crime and regulatory controls, independent of Control Owners (who are responsible for day-to-day monitoring). Compliance Assurance covers all Financial Crime (FC) and Regulatory Compliance (RC) risk taxonomies (AML, Sanctions, Anti-Bribery & Corruption and Fraud) across all businesses, functions and geographies of the Group. The division assesses, on an end-to-end basis where possible, the effectiveness of prioritised FC and RC 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.
- Compliance Assurance will deliver controls assurance in an efficient, reliable and independent manner by executing it via a Controls Testing Utility (CTU), domiciled primarily in offshore locations; and scoping, coordinating and overseeing these activities in a globally consistent manner via a Controls Testing Authority (CTA).
- The role will be responsible for delivering assessments of assigned controls, in accordance with CACT procedures and the Compliance Assurance assessment plan.
- The role holder will be required to support the Onshore Compliance Assurance Management team and VPs/AVPs (location name) in assessing the effectiveness of assigned FC and/or RC controls, identifying and raising issues where control gaps lead to material unaddressed financial crime and/or regulatory/conduct 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 Compliance Assurance procedures and templates, and meet quality control requirements.
- Ensure that assigned control assessments are delivered on time, in accordance with the Compliance Assurance 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 of in fulfilling their responsibilities as required, including planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.

**What you’ll do**:
**Principal Accountabilities: Key activities and decision making areas**

**Impact on the Business/Function**
- Lead a team of Testing Specialists in executing the Compliance Assurance assessment plan, ensuring the accurate, efficient and timely completion of independent FC and/or RC 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 and RC risks to inform the Compliance Assurance 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 and/or RC controls.
- Drive a consistent approach to Compliance Assurance testing activities across all LoBs / FC

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