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Assistant Vice President - Regulatory Compliance

更新日期:2018-02-08
工作经验:
无要求
最低学历:
本科
招聘人数:
1
语言要求:
工作性质:
薪资范围:
2.5-3万/月
职位类别:
工作地点:
广州市
分享到:
职位描述公司简介

岗位职责:

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


任职资格:

- 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

联系方式:

公司网址:http://www.hsbcglobalresourcing.com
公司地址:广州市天河区天河路381号太古汇办公楼2座第17层
联系电话:0757-85830715


汇丰环球客户服务(广东)有限公司秉承汇丰集团理念,始终将优质客户服务摆在公司发展的首位,依托先进的科技设施和雄厚的人力资源,实现服务的专业、规模和最佳化。持续多年的优质服务为汇丰环球在同行业赢得较高的声誉,随着汇丰环球规模化不断发展,汇丰环球中国营运中心现在有超过10,000名金融服务人员的专业团队,为汇丰集团世界各地的分支机构(如香港、英国、美国、加拿大、日本、中国、新加坡和澳门等)提供和分析数据、收款付款服务、客户中心等多项服务。同时荣获许多荣誉称号,其中包括广东最佳业务外包公司、广东省服务外包示范企业、中国服务外包十大在华跨国服务供应商、技术先进企业、商务部重点联系企业、A级纳税人称号,并且已连续五年获得香港呼叫中心协会年度大奖–离岸业务金奖, 广东省企业500强等。

汇丰环球客户服务(广东)有限公司

  • 企业性质: 三资企业
  • 业务范围: BPO
  • 所属行业:外包服务
  • 公司地址:广州市天河区天河路381号太古汇办公楼2座第17层

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