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Government Public Attorney in New York City, NY

HSBC Group Feb 23,2016 Feb 08,2016 Location USA New York City NY
This job is expired...

In-House

Attorney

Government / Public Law

Litigation - Whistleblower - CFTC

Min 5 yrs required

Profile

Senior Business Manager of Specialized Compliance Duties: Provides support and guidance to the assigned business line, global function or HTS to minimize the reputational risk to the Bank. Responsible for reporting of compliance to business advisory, transaction and specialized monitoring, quality assurance testing, investigations, and training. Direct Compliance reporting on key projects to assist business line, global function or HTS in meeting project deadlines ensuring advice is relevant and accurate, succinct and easily understood. Communicate key compliance concerns/issues to ensure timely resolution by business partners. Create reporting on regulatory and FCC compliance roles, including monitoring and educational role to support management with their efforts to achieve compliance with government and self-regulatory organization rules and regulations, as well as with Group and Firm policies. Ensure AML Compliance training is relevant, meets specific business needs, and is completed timely and on an annual basis. Maintain good working relationship within the compliance team, the business, internal control and senior management stakeholders. Advise business management and the BRCM function to ensure that appropriate compliance reporting is in place, and that policies, procedures, and other controls are in place and operating effectively and satisfy supervisory obligations. Review regulatory complaints and customer responses to ensure that compliance issues raised in complaints are appropriately responded to and necessary corrective actions are initiated. Leadership & Teamwork Ensure adherence to creation and completion of any required compliance and risk-related reporting for the compliance team. Ensure employees understand that they are critical in fostering an ethical and compliant environment. Develop an effective MIS through communication, performance management, development plans and reward/recognition practices. Promote an environment that supports diversity and reflects the HSBC brand. Operational Effectiveness & Control Assist senior executives in identifying and containing compliance risk, compliance monitoring and fostering a compliance culture. Work with management in the development and enhancement of products to ensure compliance with applicable laws and regulations; coordinate development and maintenance of supporting policies, procedures, agreements and contracts. Serve as liaison within compliance to foster good working relationships with internal audit and regulatory agencies affecting assigned business(es). Ensure appropriate accommodations for examiners, facilitate information requests and meetings, and coordinate management responses to examination findings. Ensure compliance reporting and monitoring is in place, including processes for management of operational risk, in accordance with Company and regulatory standards To discharge the accountabilities set out in the Risk FIM by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators. Ensure adherence to Group and North America Standards and Policies. Escalate and/or report any concerns, issues or incidents to direct manager or Compliance. Where specific local procedures are required, ensure these are updated in line with Group standards and are updated in the appropriate manuals (i.e. BIM, FIM). Maintain strong, open, transparent and collaborative relationships with regulators. To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators. Manage assigned specialized compliance function for PB Americas. Trusted business partner and advisor to Senior management ensuring all regulatory/legislative changes are followed. Ensure compliance, operational risk controls in accordance with regulatory standards and policies; and optimize relations with regulators by addressing any issues.

Qualification and Experience

Qualifications: Bachelor’s degree in business, related field or equivalent experience; Master’s degree or JD Degree preferred. 5+ years' proven and progressive financial services operations, compliance and/or legal management experience or equivalent. Strong managerial, communications, analytical, organizational, project management and planning skills. Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business. Proven ability to accomplish high-level objectives in the context of annual business and compliance plans. Proficiency with personal computers and pertinent mainframe systems and software packages.

Closing Date: 5 March 2016, 10:29:00

Additional info

Ref. 00006H70

Company info