CA Fresher/Experienced required at HSBC for SVP
SVP - FCC & RC : 00004KX2
Description
• Leadership to ensure proactive approach is taken to identification of Regulatory & Financial Crime Compliance risk change and potential impacts on the HSCI businesses in India.
• Continuous review for appropriateness of framework to monitor regulatory compliance developments impacting HSCI businesses in India.
• Implement policies and systems that ensure that the exposure to regulatory compliance and reputational risks is managed, in a practical and effective manner, including efficient and reasonable deployment of resources and an understanding of the business operations and needs.
• Establish and implement global standards and strategic policies which ensure HSCI’s exposure to current risks and emerging arising risk is managed appropriately, in a commercially focused and practical manner
• Review and assist in the effective deployment of the RC Assurance function
• Lead / liaison with relevant stakeholders within HSCI in India and other Global Business and Functional teams to provide expertise and support on all FCC and RC related matters
• Interaction with Regulators and industry bodies in India on FCC and RC matters relating to HSCI’s businesses
• Ensure the appropriate timely and relevant risk information is provided to local and Global Risk Management Committee’s
• Lead, motivate and develop an effective team through communication, cultivate an environment that supports diversity and reflects the HSBC brand and improves employee engagement.
• Conducting compliance reviews, monitoring, reporting etc. for the stock broking, merchant banking and research business of HSCI, as per Group and regulatory requirement.
• Share best practice with group offices, other business lines and other regions
• Responsible for the performance management of the team, using relevant performance management tools, ensuring timely action is taken to improve underperformance, to maximise effectiveness of the team.
• Take a hands-on approach to coaching with regular & productive use of Personal Development Plans and appropriate follow up.
• Ensure development activities are a core priority and enable all team members to take reasonable time for learning and developmental activities.
• Ensure the team in India is resourced to headcount plan, sufficient to meet the demands and opportunities of the business.
• Resolve any/all identified issues promptly, and escalate concerns to management as appropriate to ensure timely awareness of any material concerns.
• Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal/external auditors and external regulators.
• Maintain awareness of operational risk within assigned portfolio and minimise the likelihood of it occurring including its identification, assessment, mitigation and control, loss identification and reporting.
Qualifications
Graduate in Commerce with over 10 years of exposure in Securities Market. Post graduate (e.g. CA, CS) candidates who do not fulfil this criteria may also apply.
· Significant leadership experience and a strategic thinker.
· Excellent communication and inter-personal skills, with experience of dealing and influencing executives at all levels including the capacity to articulate the case for risk management and policy in the language of business.
· Ability to develop practical, cost effective solutions to complex issues.
· Experience of dealing with regulatory matters and confident interaction with local and regional management, and with the regulators.
· Experience of creating, leading and motivating a team.
· Experience of interpreting and analysing a large volume of information and / or data and provide succinct summary for management.
· Ability to lead change contributing to joining up with the other teams in Risk and Business globally
