Role purpose
conduct sme and risk stewardship activities. Conduct means that we take responsibility recognizing the real impact we have for our customers, and the financial market in which we operate. Conduct is applicable to all lines of business, functions, risk steward, and all employees.
the conduct framework was first established seven years ago and provided a strong foundation for hsbc. The conduct framework was refreshed 3 years ago, and now the global team is working on enhancements regarding various topics which will require regional support and input that will be part of the activities of this role.
role purpose will also be focused on sme capability for compliance risk stewardship responsibilities to be successfully performed, including but not limited to regulatory compliance duty to customer risks, continuous monitoring, policy implementation, regulatory changes, among others.
main activities
support in the conduct activities that will be requested from the global team to enhance its embeddedness; and support across the application of conduct risk outcomes among the business lines and global functions, including:
1. perform monthly & quarterly conduct kpi’s and elaborate reporting for relevant governance forums and track the actions coming from those forums.
2. track progress of actions of lob & gf & host regarding conduct (initiatives, issues, inclusion of conduct in cma’s, rca’s, etc).
3. provide support in the implementation of conduct communications and training initiatives when required, as well as in investigations and thematic reviews, and prepare administrative deliverables (minutes, presentations, etc.).
4. perform rca’s analysis and reassessments.
5. work in continuous monitoring assessments.
6. oversight of closure of issues.
7. implementation of regulatory changes and policies as required.
8. certifications of regulatory reports.
9. tracking of risk stewardship metrics. Support in governance forums packages including conduct and risk stewardship information.
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