SVP and Head of Compliance Assurance

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Some careers have more impact than others.

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. 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.

Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.

Report to: Head of Compliance Assurance, Asia Pacific International

People responsibility: Yes

Role Description

• This is a senior role within the Compliance Assurance (CA), which provides assurance activities over regulatory compliance and financial crime risks in all Global Businesses and Functions in HSBC Taiwan.

• The role contributes to the global standardised 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 adequately assessing the effectiveness of risks and controls to meet industry standards, country regulatory obligations and bank policy.

• The role holder will be responsible for building and maintaining strong relationships with internal and external stakeholders, including the CA Regional Head and senior leadership team, in-country Heads of Business, Compliance senior management, in-country Internal Audit and/or local regulators (as required).

• The role holder will have direct line management responsibility for a team of assurance professionals in Taiwan. This involves ensuring that the team have the right levels of competency and knowledge to meet the overall CA objectives and the Assurance Plan, as well as managing costs in-line with agreed budgets.

Requirements

• Extensive RC and/or FC knowledge, with extensive experience in assurance or audit testing activities
• Relevant external financial services qualification e.g. ICA, ACAMS, CRM
• Clear understanding of regulatory and financial crime compliance risk within the global financial services industry.
• Excellent people manager with proven people management capabilities
• Capable of building positive and resilient partnerships with key senior stakeholders
• Lateral thinker with an ability to interpret and solve complex issues
• Excellent communication skills (written & spoken) in English and in the local language with very strong inter-personal and influencing skills
• Personal Account Dealing (PAD) Covered
• Being Compliance role or management role at least 5 years above in Financial Industry

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Issued by HSBC Bank (Taiwan) Limited