Compliance Advisory Support

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**Role Purpose**
- To provide strategic, administrative and management support to the Business / Desk Head enabling them to execute the global GPB strategy/plan effectively and efficiently in a risk/regulatory-compliant manner.
- Accountable executive responsible for ensuring that HSBC’s operations in HBAP INM WPB are effective in identifying, managing and mitigating Regulatory Compliance and Financial Crime Compliance.
- Provide advisory services to WPB covering Private Banking business in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.
- Maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices. Articulate the Regulatory Compliance and Financial Crime risks for HBAP INM WPB
- Responsible for governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance to HBAP INM that is independent of the product and distribution team
- Assist the senior management of HBAP INM, the leadership of the Compliance function, and other colleagues on all material compliance related matters.
- Manage the relationship with relevant regulators on behalf of HBAP INM WPB
- Agree and oversee the implementation, embedding and monitoring of the adherence to the Compliance FIM and CMP risks stated in LoB FIM
- Assist the Head of Compliance Advisory, HBAP INM WPB in establishing and implementing strategic objectives and effective delivery of critical services to the Group / ASP related to Regulatory Compliance and Financial Crime risks
- Collaborate with internal stakeholders
- Help to create an environment where simplification opportunities are identified and executed throughout the business and supporting functions
- Responsible for the ongoing identification and execution of ideas and initiatives that simplify processes in order to enable business growth

**Principal Accountabilities**:
**Impact on the Business**
- Growth and profitability - assist in the implementation of the business plan for the geographic region to achieve established growth objectives
- To support relevant change programmes and implementation of all simplification opportunities across relevant business area

**Customers / Stakeholders**
- Drive stakeholder interconnectivity
- Builds strong networks and relationships
- Strong stakeholder management
- Drives customer centricity to be at forefront throughout implementation of changes
- Escalation point for issues

**Leadership & Teamwork**
- Present interventions to senior leaders at governance forums with clarity. Understand and incorporate challenges presented and provide solutions to move forward.
- Provide business insight and working practices to consultant teams
- Support the ongoing integration of Simplifying Growth through wider network rollout
- Maintain excellent working relationships across the GPB Business, particularly with the wider direct team
- Be an ambassador for Simplifying Growth, epitomise the core values of open, connected and dependable.
- Operate with the highest level of integrity at all times.

**Operational Effectiveness & Control**
- To continually reassess the operational risks associated with the role and inherent risk in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructuring and the impact of new technology.
- To adhere to, and be able to demonstrate adherence to, internal controls
- To challenge existing control frameworks in line with Simplifying Growth initiatives
- Drive professional standards throughout the business

**Major Challenges**

The Business Manager must ensure that he/she is consistently focused on the components of the role that add day to day value to the business and supports in identifying, managing and mitigating Regulatory Compliance and Financial Crime Compliance risk. Any non-value added activities should be ceased or transferred to a more appropriate part of the team.
- Drives and motivates teams to continuously improve and develop
- Ensure compliance with all business management and operation objectives. Actively endorse and display expected HSBC & GPB cultural behaviours.
- Establish strong working relationships across Relationship Management, Products and Services, PBGB functional teams and the collective HSBC Group/HSBC Private Bank businesses generally.
- Leading continuous change at pace
- Be aware of all internal procedures and champion changes whenever they occur.
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