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Business Descriptor:

The Compliance function is a Second line of defence (LOD) function, responsible for reviewing and challenging the activities of the Group’s businesses (also referred to as “the First LOD”) to ensure that they effectively manage the Regulatory Compliance risks inherent in or arising from the conduct of their activities and for which they are responsible. The Second LOD consists of 'Risk Stewards' who are independent of the commercial risk-taking activities undertaken by the First LOD.

The Senior Vice President, Regulatory Compliance (role holder) for HSBC IFSC Banking unit, Gift City (HIBU) is an accountable executive responsible leading the Regulatory Compliance function.

The responsibilities of the role holder are to:

• Responsible for maintaining a strong Compliance culture in the branch, interact with regulators/supervisors directly and act as SPOC for regulators.

• Monitor,



communicate and coordinate applicable Laws, Rules and Regulations issued by the IFSCA from time to time.

• Ensure tracking, monitoring and submission of various returns and ad-hoc requests from the Regulator.

• Review of IBU branch policies, recent product SOPs and product notes and ensure modification / update on any gaps in policies or frameworks.

• Support and guide business, product and functional teams for new product launches, risk assessment, embedding of sales & suitability standards, robust complaint handing, etc.

• Responsible for compliance governance and ensuring adherence to Bank's Compliance Policies /Standards /Procedures.

• Provide relevant and timely compliance advisory (including on matter concerning financial crimes compliance) to the Branch Management and internal stakeholders.

• Participate in and conduct compliance testing in order to effectively identify, detect and remediate of

📌 Senior Vice President, Regulatory Compliance IWPB HSBC IBU (India)
🏢 HSBC Global Services
📍 India