Compliance - Assurance Manager

6 days ago

Riyadh, Ar Riyāḑ, Saudi Arabia HSBC Full time

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HSBC Saudi Arabia provides investment banking services to the full spectrum of corporate and institutional clients in both the private and government sectors, including public companies; private companies and establishments; funds; government agencies; and family businesses and offices.

Role Purpose:

Reporting directly to the Chief Compliance Officer, the role holder is responsible for building and maintaining strong relationships with internal and external stakeholders, including senior and executive management in CA, Compliance, in-country Heads of Business, in-country Internal Audit and local regulators (as required). These relationships will help align the assurance activities across all three lines of defence to prevent duplication, excessive or deficient assurance and identify key priorities.

The role holder will have direct line management responsibility for an assurance professional. This involves managing local resource and costs in-line with agreed budgets and ensuring the necessary resource is in place to meet CA objectives and complete the Assurance Plan.

Assurance:

  • Assist in the discharge of accountabilities set out in the Compliance FIM by proactively assisting Compliance in their responsibilities to assist management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators.
  • Ensure maintaining an effective control framework and ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices.
  • Responsible for delivering effective oversight over risk frameworks and reporting the output to HBSA senior governance committees.
  • Deliver an effective reporting and oversight capability which enables the compliance function to deliver oversight to relevant governance committees.
  • Ensure that compliance risk steward reports for the head of compliance to present at relevant governance committees provide an accurate and balanced view of the effectiveness of the compliance control framework and escalate material issues on a timely basis.
  • Ensure Compliance assurance officer provide the needed and updated information from risk stewards in order to deliver it to relevant governance committees.

Principal Accountabilities: Key activities and decision making areas:

Impact on the Business

  • Contribute to the delivery of the approved Assurance Plan, ensuring assurance activity and associated reporting is completed to a high standard.
  • Implement and undertake a schedule of FC & RC reviews of the Business and functions to ensure compliance with internal and external policies and procedures relevant to HSBC SA.
  • Provide support in regularly communicating with HSBC SA's stakeholders on any matters or issues related to Compliance Assurance.
  • Test, monitor and manage adequacy of controls are in place within the businesses and identify potential and actual breaches.
  • Support in preparing compliance manuals and related policy guidelines and supports in conducting annual reviews on the same.
  • Monitor implementation progress of action plans designed to correct incidents of non-compliance or potential issues in policies, systems or employee conduct.
  • Support in the testing of compliance monitoring tools and control processes in ensuring that implementation meets legal and regulatory obligations, and business is conducted in accordance with HSBC SA's compliance policies.
  • Support in resolving queries or issues raised by auditors or relevant regulatory authorities.
  • Update the Compliance Assurance packs for all local committees and regional committees.
  • Support the team by providing back-up coverage for leave and vacation.
  • Assist in issuing and producing monitoring reports and MI to all Business Heads and Senior Management.
  • Conduct and undertake special investigations outside the scope of the Monitoring plan, as and when required.
  • Inform Risk Owners, Control Owners and Risk Stewards of the design and operational effectiveness of the controls within their area of oversight and control.
  • Proactively monitor and identify key in-country and regional emerging risks and/or trends to ensure ongoing development of the assurance programme to address them.
  • Drive team deliverables to ensure they are accurate and consistently of the right standards of quality and completeness to demonstrate the desired outcomes for HSBC and regulators.
  • Drive consistent reporting and escalation of issues identified through CA activities in a timely manner.

Customers / Stakeholders

  • Build strong relationships with all internal stakeholders, adopting a cohesive approach to the execution of tasks with minimum conflict.
  • Ensure that the Head of compliance is appropriately advised of material compliance issues across the company.
  • Develop/maintain positive and professional relationships with external stakeholders, while ensuring the independence of an assurance function.
  • Provide stakeholders with timely, concise insight into assurance activities.
  • Drive the provision of consistent MI on the issues identified through CA activities.

Role Context (The environment and operating conditions of the role including the extent of guidance and authority)

  • Contribute to the HSBC SA Compliance Assurance teams' delivery of outstanding Compliance Monitoring Reviews.
  • Take decisions based on your knowledge and experience.
  • Suggest ideas for enhancements of Monitoring activity.
  • Exercise any/all delegated authority with due care and diligence.
  • The role holder will be supporting monitoring activities in their area of expertise. In order to meet regulatory expectations and to provide Senior Management with up to date information regarding standards of compliance with applicable rules, a key objective of the role will be to ensure the annual compliance monitoring plan is delivered on time as aligned to the Monitoring & Testing Target Operating Model.
  • Working collaboratively within the immediate team and more widely within the Compliance Monitoring team.
  • Working with the team to provide a highly professional, competent and skilled service to the Business.

Experience / Qualifications:

  • Bachelor's degree in Law, Accountancy, Business Administration or any other relevant field from an accredited university.
  • Prior experience in Compliance and Risk Management in the banking/financial sector is preferred.
  • Extensive RC and/or FC knowledge, with some experience in assurance or testing activities.
  • Excellent communication skills with very strong inter-personal and influencing skills.
  • Track record of working autonomously.
  • Decision-making capability.
  • Experience of dealing with regulatory matters and confident interaction with Regulators.
  • Experience of creating, leading and motivating a team.
  • Experience of working within a matrixed environment preferred, including reporting internationally.
  • Strong English language skills (written and spoken).
Seniority level
  • Mid-Senior level
Employment type
  • Full-time
Job function
  • Accounting/Auditing
  • Industries
  • Financial Services and Investment Banking
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