Assistant Vice President Controls Assurance, Risk Compliance Assurance Services

6 days ago


Guangzhou, Guangdong, China HSBC Full time
About the Role

HSBC is seeking an experienced professional to join our team in the role of Assistant Vice President Controls Assurance, Risk Compliance Assurance Services. As a key member of our team, you will play a critical role in ensuring the effectiveness of our controls and compliance functions.

Key Responsibilities
  • Customise and Localise Standard Test Scripts: Evaluate assigned controls for design and operating effectiveness, raise issues as appropriate.
  • Ensure Accuracy and Effectiveness: Ensure that assigned control assessments are accurate, effective, abide by RCAS & CA procedures and templates, and meet quality control requirements.
  • Deliver Control Assessments: Ensure that assigned control assessments are delivered on time, in accordance with the CA assessment plan.
  • Supervise Control Assessments: Supervise the delivery of assigned control assessments using experience and knowledge to intervene and redirect testing as required, resolving or redirecting escalations as required.
  • Manage Stakeholders: Manage control owners and other stakeholders, ensuring the success of each assigned review, minimising contention where possible and requesting support, where deemed necessary.
  • Document Control Types: Manage the documentation of distinct control types, covering key aspects, such as remit, main processes, and handovers to other teams.
  • Ensure Issue Remediation: Ensure that issue owners complete sufficient root cause analysis for all material issues and have appropriate remediation plans in place.
  • Develop and Motivate Team Members: Develop and motivate the CA Managers through coaching and on-the-job training, ensuring the successful delivery of assigned control assessments.
  • Support Senior Leadership: Support the VPs of the CA (location name) in fulfilling their CA responsibilities as required, including resource augmentation, planning forthcoming reviews, drafting issues, contributing to the development of procedures and templates.
Requirements
  • Minimum 3 Years Experience: Minimum of 3 years proven experience in assurance, audit, compliance or risk management within financial services or other major industries.
  • Good Understanding of Risks: Good understanding of ORR, WCR, RCR, Insurance, FCR and RC risks and/or the aptitude to develop this understanding in good time, and must be familiar regarding relevant regional laws, regulations, and the overall regulatory environment.
  • Education and Skills: Minimum Bachelor's degree in related field such as business, finance, law, or equivalent experience; Master's degree preferred. Proven organisational, planning, interpersonal, managerial, analytical, problem-solving, decision-making, and team building skills.
  • Language and Software Skills: Fluent in both oral and written English. Proficient with Microsoft Office.


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