Global Markets, Control Office
Responsible for Financial Crime Risk governance and remediation for Global Markets• Delivered financial crime risk action plans in response to audit and regulatory findings.Typically global in scale, the scope of the remediation activites demanded effective stakeholdercoordination and project management.• Conducted global surveys of the main trading hubs to identify potential conflicts of interestthat could arise between Markets’ businesses, and to enhance information control and thephysical access to trading floors.• Formulated a comprehensive questionnaire to identify where HSBC executes Umbrella Non-disclosure Agreements, and other forms of confidential client information flowing into Markets, to strengthen the firm’s existing information control framework. The global survey encompassed 50+ HSBC locations and more than 90 business desks• Analysed HSBC’s pre-trade screening capabilities to assess and enhance the firm’s ability to identify and block transactions in sanctioned securities. Coordinated periodic Product Risk assessments and provided input into Transaction Monitoring remediation actvities• Responsible for the annual validation of key business policies and line of business procedures• Hosted monthly Global Financial Crime Risk Operating Commitee, providing a central forum for regional Control Offices, asset class CCOs and Financial Crime risk officers forthe review and remediation of FCR gaps and high risk issues in Global Markets• Accustomed to managing a variety of projects, deadlines and priorites whilst encouragingstrong, open communication channels to foster greater efficiency within working groups
