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Job Introduction

The role of the Regional OI support is important from the perspective of the necessary support required by sales teams to drive business. The support is primarily from a monitoring / tracking point of view where the sales teams are constantly updated of the latest positions in their business and accordingly interventions can be taken. This role therefore highly demands skills of co-ordination and people management.

Adheres to processes and controls to identify and mitigate risks and ensures timely escalation of control issues and reputation risksDemonstrates leadership on regulatory and compliance matters. Maintains awareness of risk and minimizes the likelihood of it occurring through its identification, assessment, mitigation and controlMaintains HSBC internal control standards and addresses audit points and/or any issues raised by regulators in a timely mannerMaintains HSBC internal control standards and addresses audit points and/or any issues raised by regulators in a timely manner. Fosters a compliance culture within the team, managing compliance risk and ensuring that the necessary training is completed. Optimizes relations with regulators

Principal Responsibilities

Financial:

Facilitate the acquisition team enabling them to achieve targets- Assisting in acquiring processing of opening NTB accountsFile and form checking for Account OpeningLead Management for OI RM, Assigning and tracking leads, ensuring proper closure in CRMS with apt narrationMI Management- MI agreement tracker to be properly maintainedMaintaining Daily Report, Sales reports ( YTD / MTD )Maintaining Daily Sales Call DataDeliver fair outcomes for our customers and ensure own conduct maintains the orderly and transparent operation of financial markets

Customers / Stakeholders

Ensure a consistently high level of product and service delivery for relevant customer/sales touch pointsDevelop and maintain good customer relations and ensure effective service deliveryExtend support towards reduction in KYC errors, discrepanciesComplaint Management- ensuring e-helpline update, closure of complaints before TATService Management-IWPs/DC pin/statements not received, request for personal detail change, request for bank details etcAOF checking and maintaining, ensuring proper completeness of formsCompliance with Audit requirements- KYC NON KYC error rates<3%Ensuring A/C packets resolution, A/C opening pending resolutions

Leadership Teamwork

Ensuring efficiency in technical and product processesDevelop individual competenceDevelop a collaborative environment with all members of sales teamRole model of HSBC Group Values, lead by demonstrating and driving value based culture that imbibes TCF principles in all spheres of RBWM Business

Operational Effectiveness Control

Safeguard the bank from potential Loss/ damageMonitor and implements best practices across the regionMonitor and implements best practices across the regionAttend all LDV led classroom trainings for which recommendedOwnership of all important registers for stock float of deliverables , Key , courier , reward vouchers JDOwnership of all important registers for stock float of deliverables , Key , courier , reward vouchers JDComply with the applicable laws, regulations, Group and local policy related to Sanctions and AML policy of HSBC while undertaking various day to day operationsRemain alert and promptly report to the Sanctions Officer/ INM FCC office/ Line manager ( As applicable and required by the AML and sanction Policy) if a customer is found to be engaging in sanction evasion activities or violations of AML policy or any other related proceduresUnderstand the legal responsibility to be vigilant for unusual activity and reporting of the unusual activitesSupport the Country or Regional FCC AML Office/ AML Investigations by providing additional information when requiredResponsible for attending and successfully completing the AML and Sanctions related assigned training in the mandated timeframeUnderstanding the consequences of failing to attend or successfully complete the training as mandated by the AML Education Lead FCCRequesting additional AML training that you deem necessary or appropriate to perform your jobs through your entity managerDemonstrate an understanding of PEP acceptance, prohibition, CDD EDD guidelines in order to ensure that the INM RBWM is fully compliant with the PEP LoBPUnderstand the relatively high reputational risk that arises from any perceived weaknesses in controls in respect of substantial cash deposits or withdrawals activity, wire transfer, monetary instruments and pouch and mail