HSBC Service Delivery (Polska) Sp. z o.o. is a part of HSBC Holdings plc, the parent company of the HSBC Group, headquartered in London. The Group serves customers worldwide from over 6,300 offices in over 75 countries and territories in Europe, Asia, North and Latin America, and the Middle East and North Africa. HSBC is one of the world’s largest banking and financial services organisations. Currently, we are looking for a candidate for the position of:
Operations Regulatory and Compliance Officer
Ref No: COO/OR&CO/02/2019
The Operations Regulatory and Compliance Officer, within Global Operations COO, will oversee and administer globally applied regulatory and compliance policies and procedures for the Global Operations division. These include but are not limited to:
- Anti-Bribery and Corruption
- Conflicts of Interest
- Business Continuity
- Functional Instruction Manuals (FIMs)
- Mandatory Compliance Training
- Core Leave
- Removable Media Access Certification
In addition, the role will line manage the Operations Regulatory and Compliance Coordinator (GCB5) and will ensure smooth running and day to day tasks for the ‘team’.
The Operations Regulatory and Compliance Officer will be responsible for ensuring Operations is aware of and compliant with all current global applied policies and will; review new / changes to policies to understand how they impact processes and procedures, report on and track compliance, regularly communicate out to the division, maintain updated procedures, ensure procedures are rolled out to all regions and implemented, perform periodic recertifications and reviews, and regularly update and escalate risks and concerns to the Operations COO, the Chief Control Office (CCO), and the Operations Executive Committee.
The role will work across business services and regions, partnering closely with the Chief Control Office (CCO), and business management. The role will not be responsible for country specific regulatory and compliance policies and procedures but may be asked to participate in exploratory work and provide advice and guidance to the regions.
- Ensure Operations remains compliant with key global regulatory and compliance policies and procedures through operationalising procedures globally, thereby protecting the operating environment
- Provide regular reporting and metrics on activities, highlighting areas of concern, potential risks, and where further reviews are required.
- Keep track of upcoming activities, and provide early notice of actions, events, or changes that need to be executed on to ensure the divison remains compliance.
- Act as the voice of Operations in working groups where policies and procedures are being reviewed to ensure we efficiently comply with activites
- Ensure all regions are aware of their responsibilities for communicating and implementing policy and procudures
- Perform periodic reviews of processes to ensure they are maintained and actively working to protect the organisation
- Ensure quarterly communications are distributed across Operations reminding them of their role and responsility as relates to regulatory and compliance.
- Act as the primary point of contact to the Global COO of Operations for management and execution of Regulatory and Compliance policies and procedures, partnering with CCO.
- Engage with Regional Operation’s business managers and ExCo members to ensure key policies and procedures are communicated, adhered to, and reported on.
- Support the COO of Operations with adhoc requests related to regulatory and compliance activities.
- Partner with the firm wide Compliance and Control divisions and become Operations representative on key projects and forums.
- Understand and translate Regulatory and Compliance policies and guidances for Global Operations.
- Work with Operations Strategy team where items may require a change in long term approach in Operations operating principles.
- Partner effectively to ensure delivery is accurate, is done on time, and is able to protect and control the operating environment and senior managers.
- Authentically engage a diverse group of stakeholders to deliver at pace
- Making considered decisions that protect and enhance HSBC values, reputation and business
- Build a strong relationship with CCO and ensure clean roles and responsibilities between the teams
- Responsible for the function’s implementation and period reviews of procedures to ensure we remain compliant with regulatory and compliance policies
- Responsible for function’s data and MI accuracy as relates to specific regulatory and compliance activities
- Support Operations COO team in its regional governance and control efforts in regards to regulatory and compliance and other control and effectiveness initiatives
- Experience in financial services, or a regulatory and compliance function of a medium to large size institution
- Excellent written and spoken English language skills
- Organised, structured, with a procedural mindset to execution and delivery
- Strong analytical skills with broad comfort in Microsoft Excel managing data
- Excellent presentation skills, and comfortable presenting to senior stakeholders
- Able to balance short-term tactical work, with longer-term project work
- Aptitude for authentically engaging a diverse group of stakeholders to deliver at pace
- An understanding of risk management
- Comfortable in initiating and willing to challenge the status quo
- Comfortable with ambiguity and able to navigate through and deliver in changing strategic and commercial contexts
- Ambitious for self and team and passionate about people development
- Adaptable, flexible, with a self-initiated approach to change and developing market demands and opportunities
- Being a part of a Team with exposure & engagement across all HSBC domains and markets
- Cooperation within a highly diverse team of operations transformation & process excellence experts
- A Team that will help you develop & succeed
- An environment where you will be given space to take ownership and accountability for your work
- Interesting path of career in an international organization
- Private health care, employees’ benefits