Head of Regulatory Compliance Policy

2 weeks ago

Toronto, Canada HSBC Full time

Opening up a world of opportunity.

We're a financial services organization serving more than 39 million customers across the globe through our Wealth & Personal Banking, Commercial Banking and Global Banking & Markets businesses.

We’re here to use our unique expertise, capabilities, breadth and perspectives to open up a world of new opportunities for our customers, our people and our communities.

About HSBC Compliance

Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates

About the role

The Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the First line of defence to ensure that they effectively manage as “Risk Owners” the risks inherent in or arising from the conduct of their activities and for which they are responsible.

The Second line of defence consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First line of defence. The Compliance function is a Risk Steward for a number of non-financial risks in accordance with HSBC Group’s risk framework.

The Head of RC (Regulatory Compliance) Policy is responsible to ensure HSBC Bank Canada (HBCA) manages the Compliance risks that it faces, through policy development, deployment and maintenance. The role holder is accountable to the HSBC Bank Canada (HBCA) Head of Regulatory Compliance Risk Steward Oversight and is focused on and responsible for ensuring that HSBC Bank Canada (HBCA) Regulatory Compliance policies meet local regulatory requirements.
- Define and maintain the HSBC Bank Canada (HBCA) RC (Regulatory Compliance) country policies.
- Communicate policy changes.
- Ensure entity level training materials reflect RC policies.
- Provide advice, guidance and policy interpretation to ensure that exposure to Regulatory Compliance risks are managed, in a commercially sensitive, practical and cost effective manner.
- Provide support to drive, develop, streamline and implement policy requirements and to embed policies into processes and practices across HSBC.
- Act as a source of expertise within Regulatory Compliance Risk Steward Oversight areas on legislative, enforcement and regulatory expectations locally.
- Support various policy related project work streams, including streamlining activities under the Ways of Work policy programme.
- Engage with external organizations including representing HSBC in related presentations, conferences and training programmes.
- Responsible for driving a strong compliance culture and the right behaviours.

**Responsibilities**:

- Implementing a consistent and effective approach to Regulatory Compliance policy management across Regulatory Compliance risks.
- Ensuring the identification and implementation of best practice with Policy teams across the organization to enable the highest standards of policy management.
- Ensuring that policy development reflects latest regulatory and prosecutorial expectations.
- Representing HSBC at external policy discussion forums (e.g. CBA) to ensure policies are benchmarked appropriately
- Be a trusted source of knowledge regarding Regulatory Compliance policies and legislative requirements.
- Ensure that senior management are appropriately advised of material Regulatory Compliance and related reputational matters.
- Liaise with Internal Audit and external regulatory bodies as required on all appropriate policy issues.
- Support Training initiatives, communications and opportunities to share good practice through spotlights and policy clinics
- Ensure that positive relationships are maintained with external stakeholders relevant to the Regulatory Compliance risk agenda.
- Drive a high performance culture through delivering to a high standard, collaboration and effective people interaction.
- Maintain and develop positive and professional working relationships with senior business managers across HBCA liaising closely with the Business Facing Compliance Officers and their teams.
- Support the sharing of Regulatory Compliance risk management knowledge and best practice across HSBC Bank Canada.
- Ensure appropriate tracking and follow-up on audit / assurance recommendations and support Subject-Matter Experts (SMEs) on policy issue management.

Requirements
- Seasoned professional with experience and direct involvement in Compliance roles through a minimum of 7 years proven and progressive financial services operation

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