Compliance Manager – Whistleblowing, Policy and Standards

Your responsibilities

• Undertake independent investigation of regulatory issues, including whistleblower cases. This will be achieved by: i) planning and leading investigations; ii) undertaking interviews, note-taking, collating evidence, and reporting findings; and iii) undertaking ad-hoc reviews.

• Provide a consistently high quality independent investigation service such that the bank’s businesses and support functions have confidence in regard to the integrity and quality of reported findings.

• Work effectively as part of the Investigations team to support management and colleagues in the achievement of department objectives.

• Manage and control investigations and accurately report findings to relevant stakeholders to enable the business and HR functions to manage the risks identified making robust recommendations for resolution where shortcomings are identified.

• Establish and maintain good working relationships with the business, Global Whistleblowing Oversight Team (GWOT), HR, Risk, Security and Fraud Risk and other Compliance areas in the bank.

• Undertake allocated work, as required by line management, in accordance with bank standards and department procedures.

• Establish management and administrative procedures and processes for own function or region/country, to ensure adherence to policies and manage operational risk, with due consideration to both HSBC and area or Global/Regional/Country activities.

• Supporting the Senior Manager to ensure the successful implementation of HBUK Compliance policies.

• Supporting the Senior Manager to ensure the successful implementation of Global Compliance policies.

• Working collaboratively with the Global Regulatory Conduct Policy team to ensure all policy governance requirements are met, such as dispensations and implementation standards.

• Supporting the authors of HBUK Policy to understand the required standards and governance arrangements.

• Supporting 1LOD colleagues with understanding and applying Entity Product Governance Standards.

• Supporting the 1LOD in ensuring Entity Product Governance standards are in line with Regulatory expectations.

• Support 1LOD Entity teams in evolving the HBUK Product Governance arrangements in light of regulatory developments.

• Maintain up-to date insight of industry standards relating to Product Governance.

• Acting as Compliance SME in Entity Product Governance standards.

• Support the Senior Manager/Head of Conduct, Standards and Functions in preparing for and attending Product Governance Oversight Forum.

Our requirements

What we offer