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About the Role

Primarily to support the Head of Financial Crime (FC) to maintain an effective FC control framework and discharge the Financial Crime Risk (FCR) responsibilities of Corporate and Institutional Business (CIB) and Asset Management business in Japan. Additional responsibilities include providing advice on FCR issues and liaising with senior management on FCR management and operations. The role requires coordination with country FCR functions and other stakeholders to ensure processes are coordinated and implementation risks are addressed.

Responsibilities

Conduct compliance reviews to determine the effectiveness and performance of compliance activities across the region.
Perform FCR related monitoring, reporting, and certification.
Foster a compliance culture and optimize relations with regulators.
Support ad-hoc and special projects related to FCR system changes and implementations.
Provide opinions on FC related process improvements for daily operational tasks.
Produce weekly and monthly management information (MI).
Articulate HSBC Japan's risk appetite and policies regarding FCR, money laundering, sanctions, fraud, tax evasion, terrorist financing, bribery, and corruption.
Stay informed about key regulatory changes in FC to facilitate proactive communication and implement appropriate policies.
Proactively identify financial crime risk within the client portfolio and potential impacts on HSBC.
Proactively identify financial crime risk changes and potential impacts on the Business Model in country.
Develop and continuously review the control framework for monitoring financial crime developments impacting the business.
Support regional and local implementation plans to quantify impacts and address regulatory changes.
Support the development and implementation of FC policies and systems to manage financial crime and reputational risks.
Resolve identified issues promptly and escalate concerns to Senior FC manager.
Assist Chief Risk & Compliance Officer (CRCO) in managing FC risk and enforcing FC-related Acts, rules, and regulations of Japan.
Support CRCO in providing reports on AML/Sanctions issues.
Ensure Compliance Colleagues are advised of material FC issues.
Liaise with relevant Regional stakeholders to provide business expertise on FC matters.
Assist CRCO in managing FC risk and enforcing FC-related Acts, rules, and regulations of Japan.
Liaise with the Region FC team and other R&C teams covering businesses.
Build open and two-way communication with Regional FC, functional, and other business partners.
Support decisions with sound reasoning and articulate business and regulatory implications.
Assist Country head of FC in managing day-to-day FC Japan matters.
Support the alignment of business operating practices with Global Financial Crime Standards and regulatory risk.
Ensure the Financial Crime Framework remains appropriate.
Maintain and observe all HSBC control standards and Group Policy.
Maintain awareness of operational risk within the assigned portfolio and minimize its occurrence.
Demonstrate leadership on R&C matters.
Maintain awareness of operational risk and minimize its occurrence.
Provide leadership regarding FC regulatory and compliance risk impacting the business.
Maintain and observe HSBC internal control standards and Group FC Policy.
Foster a compliance culture and implement Group FC Policy.
Ensure adequate compliance resources are in place and training is provided.
Optimize relations with regulators.
Ensure compliance with relevant compliance policies and FIM requirements related to FC.

Requirements

Preferred experience as a regulator or a senior compliance manager within a global firm in the financial services industry.
Detailed and extensive knowledge of the HSBC Group structure, its business, personnel, and corporate culture.
Significant leadership experience and an experienced strategic thinker.
Excellent verbal and written communication and inter-personal skills, with experience of dealing with executives at all levels in Japanese and in English.
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.

Skills

Financial Crime Control Framework
Financial Crime Risk Management
Regulatory Compliance
Risk Management
AML/Sanctions
Fraud Prevention
Bribery and Corruption Prevention
Communication Skills
Interpersonal Skills
Strategic Thinking
Problem-Solving
Leadership
Operational Risk Management

Location

Japan

Work Type

Full-time

Experience Level

Senior

Education Level

Legal or formal accountancy qualification
Professional background in relevant risk or audit discipline

About the Company

HSBC is an extremely diverse business with significant geographical spread and activities that span a universal banking model, including continuing to innovate to keep abreast of changes in financial services markets globally.
The Group operates in an increasingly regulated and complex global environment with often little consistency between laws and regulations in different jurisdictions.
Regulators are taking a far more proactive approach in ensuring local compliance with their requirements and imposing increasingly stringent sanctions for breaches.