Subdirector brcm gm ops
objective
reporting to the local head of gm operations as the entity manager and the regional head of control officer as functional manager, the role holder will be performing the lead chief control officer role for latin america markets ops (which consists of mexico, argentina, chile and uruguay.) They will be primarily responsible for ensuring controls, process and procedures are suitably designed and operating effectively. In doing so, providing operations management team, compliance and regulators reasonable assurances that business activities are undertaken with an appropriate control environment.
The role holder will need to work closely with various local, regional and global stakeholders at all levels, including asset classes heads and change management. Navigating and managing relationship is a core component of the role. Partnering with stakeholders and articulate results of risk assessments and the recommendations, as appropriate.
The role holder will also play a key role in helping support and where necessary leading, the enhancement/improvement of controls and best practices within mss operations.
Activities
- the role holder will need to work closely with the local, regional and global control teams, governance teams and assurance & audit teams as well as business management community and their support functions to collectively ensure the effective implementation and design of control standards, governance and procedures with the aim of sharing and promoting best practice.
- the role holder will need to actively participate in local control forums such as mss bcc and mss operations rcm
- assess and implement risk initiatives/projects mandated by the firm and regulators
- review of corporate policies and departmental procedures
- assist in the design and to help monitor the operating effectiveness of the control framework, escalating control issues as necessary
- design and implement new policies and procedures for and on behalf of the global asset class in accordance with the bank’s policy / risk appetite.
- review the output of desk/control reviews, thematic reviews and other remediation/assurance work and monitor actions to ensure effective closure in a timely manner
- act as an additional point of escalation with respect to internal control issues (including red flags) for the asset class
- monitor the implementation of the management action plans (maps) to ensure timely remediation and enhancements and incorporated in the control environment
- drive the rca for the business for the asset class and ensure that the risk assessment is reviewed on a periodic basis
- act as the gate-keeper thereby ensuring ongoing integrity is maintained and that issues and actions are followed up on a timely basis.
- the role holder will need to work closely with local, regional and global teams. It is essential the capacity to support, lead & coordinate efforts to collectively ensure the effective implementation and design of control standards, governance and procedures, the enhancement/ improvement of controls and best practices across mss operations asset classes.
- navigating and managing relationship and teamwork is a core component of the role. A continuous partnering is expected with stakeholders to implement control initiatives, to review results of risk assessments and to articulate recommendations, as appropriate.
- a very strong understanding is needed of the regulatory requirements and operational environment within a bank or broker dealer supporting various product lines such as fixed income, derivative, equity, futures and foreign exchange.
At hsbc, we expect our people to treat each other with dignity and respect, creating an inclusive culture that promotes equal opportunity. Our values define who we are as an organization and what distinguishes us, we value difference, we move forward together, we take responsibility for our actions, we use good judgment, we do the right thing and we make things happen.
At hsbc we are focused on guaranteeing gender equality and constant training for our employees as well as the protection of their labor and social rights.
“at hsbc we offer our colleagues a greater number of days so that they can fully enjoy their wedding, take care of the new member of the family, or grieve the loss of a family member. Our paid leave package is at the forefront in mexico, now you have one more reason to be hsbc and proudly live a culture of well-being, balance and care”
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requirements
functional knowledge
- bachelor's degree required, master’s is a plus
- experience in an operational or internal control function highly desirable
- understanding of regulatory environment within a broker dealer or bank and how these regulations impact operational work flows (primary regulators - (banxico/cnbv/bmv/biva)
- strategic thinker with strong analytical and project