Job
Description
Role & responsibilities Vice President - Regulatory Compliance Principal responsibilities Candidate would support in assessing the readiness to comply with proposed and in-flight new or amended significant rules, regulations and laws and may help in enabling Regulation management frameworks are in place. Candidate would pitch in to review if reasonable steps have been / are being taken to address additional significant regulatory expectations and / or issues outlined in the report. Candidate would be responsible for overseeing and ensuring that Regulation management frameworks are in place to support compliance with existing significant rules, regulations and laws. Ensure service delivery of processes as per the standards and Performance levels defined. Operating with high degree of governance in a well-defined control environment. Strong Functional and Business understanding of Regulatory Affairs, Risk management, Regulation Management Frameworks for Banking Business to guide and steer team to success. Ensuring PLA / Business MI structure provides right analysis, trends, outliers, and issues to the Business Committee. Ensure continuous review of processes with the objective of improving service delivery timeframes, control environment and to identify areas of improvement Understand stakeholder needs and manage expectations. Maintain effective relationship with business areas and identify areas of service improvements through regular calls and feedback. Influence and escalate key customer issues in an effective way to ensure timely resolution. Qualifications - External Clear understanding of Regulation Management Framework, including but not limited to, Enterprise-wide Risk Management Framework. Should be able to clearly demonstrate the role within the Line of Defenses in HSBC. Clear understanding of applications used within overall Regulation Management Eco-System, alongside Project Management Tools, User Acceptance Testing (UAT) etc. Fair understanding of significant regulatory expectations (regulatory publications, engagements, findings) and other local issues. Bachelor/Masters Degree in MBA Finance or similar with at least 8 years of experience in Banking/Law/Financial Services with Compliance role.. Experience in managing Banking Compliance, Regulatory Compliance 2nd LoD role or in a Compliance Assurance/Audit function. Demonstrated team player qualities and proven track record of ability to manage diverse/multi-culture work environments with strong organization, time management and prioritization demand. Relationship management within the context of Regulatory Compliance and Regulation Management. Excellent communication skills, presentation skills and interpersonal skills, combined with strong courageous integrity to challenge, ask the right questions, be persistent, give and receive feedback positively, collaborate effectively within teams, outside teams and with front office. Expertise in working on various systems and applications, with proficiency in MS Excel/Access/Word/Ppt. Orientation towards Quality, Automation and Efficiency (Six Sigma/Lean methodology) Preferred candidate profile
