HSBC
Senior Compliance Assurance Manager at HSBC UAE undertakes assurance activities over regulatory compliance (RC) and financial crime (FC) risks. The role contributes to the global standardized CA approach ensuring that it is aligned to the bank’s Risk Management Framework (RMF). It is responsible for driving and contributing to the delivery of end to end assurance work over RC and FC risks and controls. It is a subject matter expert on assessing the effectiveness of risk management activities to meet industry standards, country regulatory obligations and bank policy.
The role holder will be required to lead and contribute to assurance reviews across multiple Global Businesses/ Functions in MENAT and manage effective relationships with relevant stakeholders at the Regional and Business levels. The job holder will have oversight over one of the non presence countries and will be the subject matter expert for WPB reviews. The role holder will not have direct line management responsibility but will lead and manage other assurance individuals in the delivery of assigned work.
Responsibilities of Senior Compliance Assurance Manager
- Support the design and execution of assurance activities, ensuring that all relevant standards, policies and procedures are met.
- Provide subject matter expertise to and advise colleagues, supporting the identification of appropriate review scope and delivery of assurance activities.
- Inform Risk Owners, Control Owners and Risk Stewards of the design and operational effectiveness of the controls within their area of oversight and control.
- Escalate significant control deficiencies in a timely manner.
- Lead review teams in delivering specific testing requirements within the assurance program.
- Proactively monitor relevant risks to identify key emerging trends and themes/ topics for assurance review.
- Evaluate and manage the allocation of resources on an ongoing basis to ensure completion of reviews.
- Build strong relationships with all internal stakeholders, adopting a cohesive approach to the execution of tasks with minimum conflict.
- Contribute to the production of high quality CA deliverables, through effective quality control at each stage of the CA review life cycle, i.e., Terms of Reference issuance, fieldwork completion and reporting.
- Help drive high operational standards within the team, avoiding high risk findings from Internal Audit or other internal/external evaluative teams.
Requirements of Senior Compliance Assurance Manager
- University degree is mandatory for UAE visa.
- Relevant external Financial services qualification.
- Minimum 5 years of experience in similar role.
- Extensive RC and/or FC knowledge, with extensive experience in assurance or testing activities.
Skills and Knowledge Desired
- Clear understanding of regulatory compliance and financial crime risk within the global financial services industry.
- Capable of building positive and resilient partnerships with key stakeholders.
- Lateral thinker with an ability to interpret and solve complex issues.
- Excellent communication skills with very strong inter-personal and influencing skills.
- Track record of working autonomously and leading teams to deliver.
- Strong decision making capability.
- Strong English language skills (written and spoken).
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