HSBC | Regional Head of Surveillance Asia Pacific

1 day ago

hong kong, Hong Kong SAR China HSBC Full time

Some careers grow faster than others.

If you’re looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential. 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.

Our Risk and Compliance function has a critical role to play in supporting, challenging and advising across all areas of the business through establishing policy, monitoring profiles, and identifying and managing forward-looking risk and compliance. We focus on creating an environment that encourages our people to speak up and do the right thing, as well as protecting our customers, the organisation and the integrity of the financial markets in which we operate. Already an industry-leader in many respects, we want to continue setting standards and evolving to respond to strategic changes.

We are currently seeking an experienced individual to join this team in the role of Regional Head of Surveillance Asia Pacific.

Role Purpose

  • The Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage as “Risk Owners” the risks inherent in or arising from the conduct of their activities and for which they are responsible.
  • The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD. The Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework.

Role Responsibility

The Regional Head of Surveillance Asia Pacific (ASP) is responsible for supporting the business to ensure HSBC manages the Compliance risks that it faces. The role is a key risk management role with a broad remit and responsibilities including:

  • Provide leadership, oversight and direction across all elements of the Surveillance Programme within ASP, in line with the Group’s strategy.
  • Be accountable for the effective design and operation of Surveillance controls and associated processes within the ASP region, and globally, through teams of subject, technology and change experts, and ensure these accord with global standards at all times.
  • Lead, manage and actively support the development of a large team of Surveillance specialists across multiple sites within ASP; and ensure effective disposition of all ASP alerts in accordance with global standards.
  • Develop and maintain exceptional relationships with ASP Compliance, Line of Business and wider senior stakeholders in order to understand and meet regional Surveillance priorities including HSBC Senior Management; External Regulators; Internal Audit; Front Office / Control Office; Operations; Compliance Stewardship; Change Management; and IT.
  • Ensure consistent governance within the Compliance function of RC risk exposure and provide analysis, reporting and governance that is independent of 1LoD, thereby maintaining an objective assessment of relevant RC risk exposures.
  • Drive consistency, alignment and integration of operating models across the Surveillance detection capabilities and LOB investigative teams (communications Surveillance; trade Surveillance; Unauthorized Trading Surveillance; Markets Customer Monitoring); in alignment with global standards.
  • Ensure the underlying risk assessments are completed appropriately and updated as required according to the prescribed cadence for the ASP Surveillance program.
  • Complete the implementation of ASP Surveillance target operating model and plan for continuous enhancements with due regards to emerging risks, regulation, business priorities and emerging technology.
  • Ensure strong lines of communication are in place with the Surveillance Engineers, including for Model Risk Management; Tuning & Calibration of alerts and the Data Management Framework to allow for the effective generation of alerts and that feedback loops are managed appropriately between the ASP region and the Centre.
  • Actively leverage deep Surveillance functional, regulatory and industry knowledge to continually shape the Surveillance Strategic Objectives, delivery priorities, operating model and management of thematic or emerging issues.
  • Work closely with fellow Regional & Country Heads of Surveillance to ensure a globally coordinated and consistent Surveillance Programme, whilst cognizant of regional regulations and priorities.

Principal Accountabilities

Functional Management

  • The Regional Head of Surveillance ASP oversees the ASP Surveillance regional teams’ activities and seeks to ensure that all parts of the sub-function operate in accordance with agreed KPIs and to the requirements of the Compliance Operating Model.
  • Proactively develop the ASP Surveillance regional teams’ activities to continue to help the Function navigate the regulatory landscape as that landscape evolves.
  • Support all parts of the Compliance function, including by regular communications and reporting and work in a collaborative way with all stakeholders.

Impact on the Business

  • Key point of contact between Compliance and HOST and Global Functions.
  • Responsible for oversight for operational and service issues with the Global Businesses.

Customers / Stakeholders (Internal)

  • Global Head of Regulatory Compliance
  • Global and other Regional Heads of Surveillance
  • ASP CCO and ASP Compliance ExCo
  • ASP CEO(s) of LOBs
  • Heads of Function/HOST
  • Head of Strategy, CoS

Customers / Stakeholders (External)

  • ASP External regulators
  • ASP External market, e.g. investor or industry presentations
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