Department Profile:
The Regulatory 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 Regulatory Compliance 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 Regulatory Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group's risk framework.
Role Purpose:
- To act as a senior Advisory Manager for HSBC Japan in relation to Regulatory Compliance (excluding HSBC ASSET MANAGEMENT) risks.
- Articulate the Regulatory Compliance (excluding HSBC ASSET MANAGEMENT) risks for HSBC Japan.
- Primarily to support Corporate & Institutional Banking (CIB) Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices.
- Provide advisory services to CIB in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.
- Manage the relationship with relevant regulators on behalf of HSBC Japan.
- Be responsible for second line governance of Regulatory Compliance (excluding HSBC ASSET MANAGEMENT) risks exposures, providing analysis, reporting and governance to HSBC Japan that is independent of the first line of defense, thereby maintaining an objective assessment of risk exposure
- To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.
- Assist the senior management of HSBC Japan, the leadership of the Regulatory Compliance function, and other colleagues on all material compliance related matters.
Principal Accountabilities:
Impact on the Business
- Oversee the critical Compliance policies and systems that impact HSBC Japan and ensure that the Group's exposure to Regulatory Compliance (excluding HSBC ASSET MANAGEMENT) risks is managed in a commercially sensitive, practical and cost effective manner.
- Provide advice and support on Regulatory Compliance (excluding HSBC ASSET MANAGEMENT) risks to senior management, Compliance and other colleagues.
Customer / Stakeholders
- Reporting to Head of Advisory, Japan Regulatory Compliance for relevant risks matters.
- Ensure that senior management are appropriately advised of all material Compliance related matters relating to HSBC Japan.
- Manage and foster a strong relationship with all relevant regulators in relation to the activities of HSBC Japan and ensure timely disclosure of relevant information, in relation to regulatory compliance related matters.
- Ensure that positive relationships are maintained with other external stakeholders relevant to the Regulatory Compliance agenda.
Leadership and Teamwork
- Provide leadership to and develop the Regulatory Compliance function for HSBC Japan liaising closely with functional reports and (where relevant) with local line managers.
- Maintain and develop positive and professional working relationships with senior business managers and Regulatory Compliance colleagues at the Group level and those in other Regions and Businesses.
- Create an environment for the delivery of consistent performance measurement, training, career management and succession planning across the HSBC Japan Compliance capability.
- Establish a strategy for the sharing of Regulatory Compliance risks related compliance knowledge and best practice across HSBC Japan and the wider Regulatory Compliance function and Group.
Operational Effectiveness and Control
- Create a framework for the effective risk-based monitoring of the implementation of Regulatory Compliance (excluding HSBC ASSET MANAGEMENT) risks related policies and controls across HSBC Japan.
- Agree and oversee the implementation, embedding and monitoring of the adherence to the Regulatory Compliance FIM in HSBC Japan.
Experience, Skills and Qualifications:
- Significant experience as a regulator, or a senior compliance manager across all areas of Compliance risk within a global firm, in the financial services industry.
- Detailed and extensive knowledge of the HSBC Group structure, its business and personnel, and HSBC's corporate culture.
- Significant leadership experience and an experienced strategic thinker.
- Excellent communication and inter-personal skills both in English and Japanese, with experience of dealing with executives at all levels.
- Ability to develop practical, cost effective solutions to complex global issues.
- A legal or formal accountancy qualification or professional background in a relevant risk or audit discipline.
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