Non-financial Risk

-Job description

**Some careers shine brighter than others.**

If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

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.

**Some careers shine brighter than others.**

If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

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

**Role Purpose**

The NFR function that sits within the markets business within the Markets & Securities Services area of HSBC. The Control Office helps manage and control non-financial and new risks in the business, including but not limited to operational, conduct and product lifecycle risk.

An overarching purpose is to protect HSBC, its People, Clients and Financial Markets by helping safeguarding the delivery of fair outcomes to our customers and avoiding disruption of the orderly and transparent operation of Financial Markets.

The role holder will sit within the Asset Class - Non-Financial Risk team in Bangalore and be responsible for providing administration, supervision and monitoring support for the Equities & Securities Financing business globally.

**What you’ll do**:
As a NFR team member supporting the NFR lead, key accountabilities include:

- Conduct Assist in driving the conduct agenda for the region
- Controls:

o review new policies and standards for and on behalf of the region
o assist in managing the regional control framework including the execution of Octagon control checklists
o assist in ensuring effective remediation actions in place for key issues for the region and track mitigation
- Assurance - Monitoring of key control reports and exceptions, and evidence of review to assist Control owners in their Continuous Monitoring obligations
- Governance Forums - Ensure that the agenda / contents of the Global Markets Business Control Committee and other forums as required is ‘fit for purpose’ so that key control issues and emerging risks are appropriately discussed and addressed - act as secretary deputy to the meeting, ensure pack is reviewed and produced, set the agenda and drive the focus on key control issues and emerging risks
- Periodic Risk Assessment: Drive the RCA (Risk and Control Assessment) and other targeted risk and control effectiveness assessments for the business and ensure dynamic review of NFR risks.
- Audit - Act as contact point for Audit & other independent functions in the second line of defence that conduct periodic surveillance and control reviews.
- Incident Reporting: Root cause analysis of internal incidents and incident report write up.
- Issues & Actions: Act as the gate-keeper thereby ensuring ongoing integrity is maintained and that issues and actions are followed up on a timely basis.
- Support the business heads and COO in the development of a stronger control and conduct culture
- Continuous support for Trading Supervisors and enhancement of tools used by them when discharging the FOS responsibilities

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Requirements

**ESSENTIAL EXPERIENCE**
- Overall experience of 5-10 years in investment banking industry
- Strong Equities business and operational process experience at an investment bank
- Motivated and dynamic, with the ability to manage multiple tasks and respond to urgent requests
- Ability to work closely with team members and collaborate with colleagues globally
- Proficient in Excel and PowerPoint
- Confident and comfortable with reporting tools and databases, able to quickly to learn new systems
- Strong organisational and time management skills, with a structured, organised approach to work
- Good written and verbal communication skills
- Able to interact in a professional manner at all levels in the organisation.
- Prior experience in Audit, Business Management or Risk/Control roles within a Markets business
- Work or academic experience in a major onshore hub / country
- Robust track record in dealing with a diverse and international group of stakeholders
- Good communication, negotiation / influencing and presentation skills

**ESSENTIAL SKILLS/COMPETENCIES**

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