SVP and Head of Financial Crime

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The Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as "the First LOD") to ensure that they effectively manage as "Risk Owners" the risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of ’Risk Stewards’ who are independent of the commercial risk-taking activities undertaken by the First LOD. The Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework

Report to: Chief Compliance Officer, Taiwan

People responsibility: Yes

Responsibilities:

• Money Laundering Risk Officer, supporting the Business Facing Compliance Officers in countering financial crime. Working closely with the Business Facing Compliance Officers, set policy and provide effective oversight of the operational effectiveness of critical policies and systems covering financial crime that ensure that the Taiwan exposure to financial crime and related reputational risk is managed, in a commercially sensitive, practical and cost effective manner.
• The articulation of Taiwan risk appetite and policies with respect to money laundering, sanctions, internal and external fraud, tax evasion, terrorist financing, bribery and corruption.
• Working with the Business Facing Compliance Officers, identifying, analyzing, and investigating Financial Crime risk to support informed risk management and effective information sharing with internal and external stakeholders (including government), grounded in advanced analytics and technology.
• Acting as a trusted advisor to the Taiwan Board and senior executive stakeholders (including the leadership of the Compliance function) on all material financial crime risk and related reputational issues involving Taiwan that arise in relation to the operational management of financial crime risk.
• Coordinating a consistent approach to managing Taiwan positive relationship with its regulators, and, in conjunction with the Business Facing Compliance Officers, ensuring timely reporting and disclosure of relevant information both to our regulators and within the Group in relation to financial crime matters.
• To represent the financial crime risk agenda up to the highest levels of governance, including sitting as a member of the Taiwan Compliance ExCo and as an attendee at the relevant Taiwan Board committees to report on progress and issues in relation to the operational effectiveness of HSBC’s policies, processes, systems and controls in countering financial crime.
• To ensure second line governance of financial crime risk exposure, providing analysis, reporting and governance that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposure.
• Lead the Taiwan Financial Crime team, establishing guiding principles and strategic operational objectives, owning budgeting and managing costs, headcount and resources to ensure that the Financial Crime team is fit for purpose and that the team’s delivery of its critical services is both effective and cost-efficient.

Requirements:

• Solid compliance advisory and/or Financial Crime Investigation extensive experience in Compliance activities
• Significant experience as a regulator, or a senior compliance manager within a global firm, in the financial services industry.
• Significant leadership experience and an experienced strategic thinker.
• Excellent communication and inter-personal skills, with experience of dealing with executives at all levels.
• Ability to develop practical, cost effective solutions to complex global issues.
• A legal or formal accountancy qualification or professional background in relevant risk or audit discipline.
• Personal Account Dealing (PAD) Covered
• 防制洗錢與打擊資恐專業人員證照

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