Accounting/Auditing, Agriculture, Forestry, & Fishing, Finance/Economics, Human Resources, Information Technology, Legal, Military, Executive Management, Quality Control, Research & Development
Senior Quality Assurance Sanctions Manager
Leads a team of quality assurance specialists in the effective execution of quality assurance reviews according to established department policies and procedures
Responsible to ensure a consistent approach is followed while deploying the quality strategy for FCC and RC Operations
Maintains a strong network amongst the teams, across all the sites to continuously drive best practices
Facilitates enhanced process efficiencies and ensure consistent quality service is provided
Assist in developing MIS, Reports & Other productive tools for FCC & RC Operations
Works jointly with the training team to identify and deliver the training needs through Quality campaigns and other forums
Drives engagement with the operations teams through the extensive MI produced by the CI team through forums such as Quality Hours
Analyzes extensive Quality MI and collaborates with the Training team to identify training needs and drive Continuous Improvement
Identifies and provides regulatory and technical training to direct reports and other members of the team;
Leverage from the Quality team across all locations to meet the turnaround time while completing the assigned quality reviews
Ensures quality assurance audits are completed as outlined and according to plan.
Ensures processes remain in compliance with all applicable laws and internal policies and procedures
Identifies and makes recommendations to management for process improvements.
Issues management reports and conduct meetings with business partners to review results and recommendations.
Supports the Education, Training and Development department for Continuous Improvement while supporting the global FCC & RC Quality Assurance objectives.
Impact on the Business
Manage AML quality assurance reviews and communicate results to management.
Coordinate statistical analysis to monitor the quality, regulatory and procedural compliance of AML investigative functions.
Improve quality and efficiency of functions through monitoring and processing analysis. Initiate and conduct research for identified issues.
Develop and recommend plans to improve service to business partners, including staffing requirements; recommend process and procedural improvements and support their implementation.
Participate in reviewing external (i.e. regulatory) and internal (i.e. CTAC & internal audit) results to improve the quality process.
Facilitate the design and implementation of new or revised measurement criteria in assigned areas. Manage assigned teams overall performance, focusing on established (annual) plans.
Conduct regular reviews of operational processes as assigned, including special reviews as issues of a complex or difficult nature occur.
Prepare and present quality assurance reports to business partners and senior management.
Support in the training and development of AML investigators to continuously improve investigation quality; support and conduct training workshops where necessary
Escalate issues which could have a probable business impact
Effectively cascade any process related quality communication to all stake holders. Share best practice and learning points to the site and across all FCC and RC Operations teams
Maintain enhanced quality through structured coaching and feedback sessions on an on-going basis and improve operator performance by conducting quality huddles and timely feedback which is duly signed off.
Customers / Stakeholders
Support management and business partners in the execution of strategies for achievement of business objectives.
Direct the delivery of reports, training and related communications to business partners and ensure a consistent approach in alignment with core objectives of the FCC & RC Operations program.
Responsible for developing relationships with business partners in support of the FCC & RC Operations AML Policy.
Establish effective relationships across all FCC and RC sites to drive a “Joined Up” approach. Ensure consistency in applying quality procedures so that a Customer’s/Region’s data is the product of a consistently deployed Quality strategy
Publish Quality MI which helps understand the training needs thus enhance the overall Quality of the process
Support Continuous Improvement Initiatives which are driven across FCC and RC Operations teams
Leadership & Teamwork
Provide management direction to foster effective selection, development and reward of subordinates.
Complete other responsibilities, as assigned.
Occasional domestic travel may be required.
Lead and develop an effective team through communication, performance management, development plans and reward/recognition practices.
Promote an environment that supports diversity and reflects the HSBC brand.
Operational Effectiveness & Control
To work as part of an independent function for the 1st line of defense, with no conflict of interest and accuracy in submissions.
Ensure employees adhere to the established operational risk controls in accordance with HSBC or regulatory standards and policies, especially given the regulatory implications associated with Compliance Operations
Facilitate operational motivators, share knowledge and bests practices within the site and across all other FCC and RC teams to drive enhanced quality results
Act as a process expert and extend support to the operations team, in particular providing timely mentoring to the operators on issues identified.
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.
Complete other responsibilities, as assigned.
Manage time effectively to ensure all defined Quality deliverables are met in addition to providing development opportunities to the quality teams within the site. This could be a hindrance if not managed aptly
Supporting the MO to drive a consistent Quality structure within the site and to match the strategy followed by the other FCC and RC sites can be a challenge considering the involvement of multiple geographies
The role requires good inter personal and communication skills to enable strong network is in existence across all locations
To enable structured ongoing coaching across FCC and RC Operations and can be a challenge incase not provided in a timely fashion.
The role has accountability for meeting the quality performance of the processes across sites. So achievement through others can be a challenge
Completing trend analysis on Productivity, Volumes Quality and provide inputs to the management/operation team across sites can be a challenge
High levels of technical and professional expertise are required to provide guidance and support to drive quality effectively
The role entails regular contact with peer group and senior managers to coordinate efforts and report progress and results
Flexibility in adopting changes in corporate and departmental objectives, as well as exhibiting willingness to provide input to achieve organizational objectives.
Promote an environment that supports diversity and reflects the HSBC brand
Management of Risk
Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues., The physical demands/work environment described above are representative of those that must be met by an employee to successfully perform the essential duties of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential duties.
Physical Demands/Work Environment: Very good working conditions. Little or no physical demands. Minimal handling of light materials. The physical demands/work environment described above are representative of those that must be met by an employee to successfully perform the essential duties of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential duties.
The jobholder will continually reassess the operational risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
This will be achieved by ensuring all actions take account of the likelihood of operational risk occurring. Also by addressing any areas of concern in conjunction with line management and/or the appropriate department.
Avoid decisional errors that could lead to regulatory breaches.
Work with the team to ensure no High risk and/or Repeat finding during group audits and IC reviews are identified
Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies.
Promote an environment that supports diversity and reflects the HSBC brand.
Observation of Internal Controls
Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Apply compliance; maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators; adhere strictly to compliance and operational risk controls in accordance with HSBC and regulatory standards, policies and practices; report issues and operational loss events. Abide by human resources and other HSBC policies in support of our ethical and respectful work environment.
Adhere to the code of conduct and HSBC values at all times.
As appropriate for the role, ensures alignment with regulatory requirements, the Compliance of FIM, HNAH’s BSA/AML Policy, other Group policies and all related policies and procedures.
This role will co-manage the quality function as applicable within respective sites and be a key stakeholder in the responsibility to meet the deliverables to support the operations team
The role holder should keep current with understanding of systems, policies, procedures and especially relevant Group and BP regulations relevant to the process. The role holder will also be involved in completing the processing component as applicable to their work profile.
Enable classroom and training support as identified
Produce MI as required.
Ensuring processing and operations management confirm to Group’s Compliance policies and procedures.
To maintain all the process reports in accordance with the compliance and audit procedures.
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Qualifications & Requirements
Bachelor’s degree in business, finance, accounting or equivalent experience.
Strong management, interpersonal, training, organizational, project management, analytical, problem-solving and verbal and written communication skills.
Ability to positively interact with colleagues, peers and management.
Strong management, coaching, influencing and motivational skills; ability to positively drive team performance in a high-volume environment.
Strong knowledge of assigned businesses, products, operations, systems and organization and strong understanding of all significant regulatory requirements applicable to the business.
Proficiency with personal computers as well as pertinent mainframe systems and software packages
Should exhibit strong investigative and analytical skills.
Strong communications and coaching skills, particularly competent with English written and spoken skills.
Ability to interpret and disseminate complex data and perform analysis as required by the business.
Ability to understand and implement Group risk management policies
Demonstrate ability to supervise, train and administer the work and development of (up to 8) assigned staff;
Working knowledge of various applications including MS Word and Excel
Ability to effectively organize work schedules and manage multiple tasks by utilizing time management skills
Ability to work as an effective team member within the departments and company as a whole