Compliance Assurance Manager (UAE Nationals Only)

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This is a role within the Compliance Assurance (CA) sub-function, which provides assurance activities over regulatory compliance (RC) and financial crime (FC) risks.

This role contributes to the global standardized CA approach ensuring that it is aligned to the bank’s Risk Management Framework (RMF). It is responsible for contributing to the delivery of end-to-end assurance work over RC and FC risks and controls. It is a subject matter expert on assessing the effectiveness of risk management activities to meet industry standards, country regulatory obligations and bank policy. 

The role holder will be required to contribute to assurance reviews across multiple Global Businesses/ Functions in the the region and manage effective relationships with key stakeholders. The role holder will not have direct line management responsibility

Duties & Responsibilities:

• Help design and deliver assurance activities, making sure all applicable standards, policies and procedures are followed.
• Act as a subject matter expert, advising colleagues on setting the right review scope and delivering assurance work effectively.
• Provide Risk Owners, Control Owners and Risk Stewards with clear views on the design and operating effectiveness of controls in their areas.
• Escalate material control weaknesses promptly and through the appropriate governance channels.
• Proactively identify and highlight emerging compliance risks across Global Businesses and Functions.
• Support delivery of the approved Assurance Plan, ensuring testing and reporting are completed to a consistently high standard.
• Promote a consistent approach to CA testing across Global Businesses, Functions and countries.
• Deliver against agreed regulatory deadlines, targets and internal timelines.
• Produce and support high-quality management information (MI) covering CA activity and outcomes.
• Complete assurance reviews within agreed timeframes through effective planning, leadership and prioritization.
• Perform periodic controls testing in line with RMF requirements, including Sarbanes-Oxley controls assigned to CA.
• Communicate issues clearly and constructively to stakeholders, following the defined governance process.
• Build strong internal stakeholder relationships, working collaboratively to deliver outcomes with minimal friction.
• Maintain positive, professional relationships with external stakeholders while protecting the independence of the assurance function.
• Provide timely, concise insights to stakeholders on assurance progress, findings and outcomes.
• Drive consistent MI on issues identified through CA activity, ensuring clear visibility and follow-through.
• Support high-quality CA deliverables through robust quality control across the review lifecycle (ToR, fieldwork and reporting).
• Demonstrate strong teamwork, engagement and collaboration across CA.
• Role-model high standards in personal conduct, interactions and expectations set for colleagues.
  
  

 Experience & Qualifications:

• A graduation degree is essential for obtaining a UAE visa and work permit. If your university certificate is from outside the UAE, up-to-date attestations and equivalency are also mandatory (Recognition of Higher Education Qualifications Issued Outside The UAE)
  
• 2 years of experience in Regulatory Compliance and/or Financial Crime compliance knowledge, with some experience in assurance or testing activities
• Clear understanding of regulatory and/or financial crime compliance risk within the global financial services industry
• Capable of building positive and resilient partnerships with key stakeholders  
• Lateral thinker with an ability to interpret and solve complex issues
• Excellent communication skills with very strong inter-personal and influencing skills
• Track record of working autonomously
• Decision-making capability
• Strong English language skills (written and spoken)
  
  

For further details and application information please visit our careers site, searching for reference number 46580.

We support our staff to adopt flexible and alternative ways of working where possible, including working from home and different hours subject to approvals.

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working, and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hong Kong and Shanghai Banking Corporation Limited