Job Description
Job Description
Business: Private Banking, HSBC UK Bank Plc
Open positions:1
Role Title: AVP - Training And Competency Framework GSC’s
Global Career Band:5
Location: Bangalore
Recruiter Name: Nisha Sharma
Why join us?
GPB is expanding its offshore footprint across multiple sites. Within IWS UK Function this role supports regulated professionals from all teams within RM Credit Advisory, and IWS (over 150 staff) within the UK (PBUK) Private Bank to attain and maintain the required level of regulated professional development and plays key role in managing FCA regulatory compliance.
The Opportunity:
The role will also be responsible for managing multiple business management tasks to support the UK IWS business, including Best Execution Monitoring, Advice Suitability related KRIs/IC and RM Desk Head Checks, Business Continuity Management, Market Data Management, Recorded Phone Line Reviews and Maintenance, Governance Forum Submissions preparation (BCCs, RMMs, Cost Forums).
What you’ll do:
Principal Accountabilities: Key activities and decision making areas
• Establish and maintain excellent relationships with staff at all levels up to and including Managing Director within RM, Credit Advisory, IWS, Compliance and HR functions
• Monitor and coach the required level of regulated professionalism record keeping for existing staff:
• Coordinating between trainees, other internal stakeholders and training / exam providers to identify appropriate exam route;
• Maintain records of exams, ensuring such records are recorded in appropriate systems
• Maintain records of regulated staff and population reports
• Monitor Individual Accountability Regime population, and qualification checks, first point of contact for the IAR office in resolving queries
• Escalate poor behaviour or performance and champion best practice. Provide action oriented MI for inclusion in key governance forums such as BCC/RMM
• Input in to maintaining excellent external facing relationships with examining bodies and professional development firms, and internal sources of CPD delivery
• Fulfil SME and super user support for Tracsmart competency and CPD logging application (including testing, CPD QA, Hierarchy and CPD file upload)
• Be the primary liaison between PBUK IT and users of the Tracsmart application for ongoing system requirement needs
• Manage all scenarios with utmost integrity and discretion
• Work with Compliance, HR and the business to agree / clarify PBUK’s policy re exams, study, membership etc
• Key contributions to ongoing accreditation for the CPD programme from CISI
• Key contributions to annual FCA regulatory RMGA reporting and maintenance of the FCA Public Directory of Certified and Assessed Persons for PBUK.
• Review / facilitation of Statement of Professional Standing) licence renewals for regulated Advisers / Supervisors
• Fulfilment of IWS UK Business Management Support activities, including best & timely execution monitoring, Trade and Investment Suitability Related Management Information production, business continuity and market data management.
Customers / Stakeholders
• PBUK/IWS Senior Management
• PBUK/IWS Regulated Professionals
• PBUK HR and L&D Team & IAR Management Team
• PBUK Compliance Team
• UK Examining bodies
• UK Professional development firms
Leadership & Teamwork
• Lead by example, demonstrating individual core capabilities / behaviours / values including teamwork, achievement focus, planning
• Work collaboratively across HSBC and provide input in to collaboration with relevant external firms (e.g. CISI).
• Influence and negotiate with staff at all levels
Operational Effectiveness & Control
• Support CPD re-accreditation programmes
• Support regulatory and audit reviews as required
• Maintain FCA complaint records for the whole business
• Successful delivery of considerable optimization & efficiency gain project undertaken
• Timely completion of planned activities without any delay attributable to GSC functions.
• Recorded evidence by Line Manager and business stakeholders
• Cross train with other regions within BM team for optimal resource utilization
• Identify opportunities of cost save / Process reengineering which may include and not limited to:
• Lean ideas suggested / Implemented
• Six Sigma ProjectsCost save initiatives undertaken
• Realized Cost save
• Realised considerable efficiency gain
• Nil evidence of breaches towards the bank’s policies & regulations like Data Protection and Privacy, Anti Money Laundering, Information Risk policy and regulatory requirements, process specific regulations.
• Abide by Group Compliance policy
• Clarity and proactive mode of communication and on time completion of deliverables
• Positive feedback from agreed business and functional stakeholders
• Satisfactory CISI Continuing Professional Development (CPD) Audits
• Satisfactory internal audits
• Satisfactory Compliance monitoring outcomes
• Achievement of internal PBUK targets for CPD annual sign off completion and Statement of Professional Standing (SPS) production
• Ongoing SPS maintenance for all regulated staff-perpetuate their “licence to trade”
• Ongoing maintenance of Private Bank’s certified regime business population
• Internal and external stakeholder feedback
• Quality of record keeping
• Timely and responsive provision of required MI
• Control of financial expenditure annual SPS licences and memberships
• Satisfactory and timely completion of Business Management Support tasks for the UK Investment business
• Feedback from agreed key stakeholders / local Teams / colleagues and Management teams
• Engage our workforce to maximise contribution and commitment
Requirements
What you will need to succeed in the role:
• Educated to graduate level (or equivalent level of experience) (M)
• Excellent Microsoft Office capabilities, including Excel, Word, Powerpoint and Access. (E)
• Business systems interaction and data mining capability. (E)
• Awareness of Finance Industry Learning & Development, Training & Competency requirements and its elements e.g. training analysis (E)
• Knowledge of investment products including the way in which these products are traded (E)
• Knowledge of governance requirements related to suitability of investment advice provided to clients (E)
• Excellent oral and written communication skills (E)
• Excellent time management and prioritisation skills (E)
• Confidence to interact with and influence senior management within the Private Banking businesses (E)
• Good presentation skills (E)
• Commercially aware, solutions focused (E)
• Ability to apply technical knowledge to educate the Business appropriately (E)
• Possess the ability and drive to raise standards and make an impact on the Private Banking businesses’ culture. (E)
• Self motivated, enthusiastic and ability to learn and adapt (D)
• Ability to work well within a strong team environment (D)
What additional skills will be good to have?
• Proactive delivery of outstanding performance (client service, behavioural expectations, and adherence to internal/regulatory procedures and controls)
• Provision of a highly professional, competent and skilled service to the Business
• Understanding the boundaries between execution and advice
• Exercise any / all delegated authorities with due care and diligence.
• Proactive delivery of business management support to the UK and CI investment businesses, including the delivery of accurate proposition and trading related controls and Management Information.
Management of Risk
• Is aware of the Operational Risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.
• Impeccable record-keeping and attention to detail required to protect interests of the Bank and our advisers
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.
• Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.
Major Challenges
• Fostering and maintaining a ‘solutions led’ approach
• Dealing with all levels of seniority within the Business, and maintaining a good working relationship
• Maintaining and improving standards in a growing and diversifying business
• Empathising with the certified advisers, given high risk nature of your requirements, balance with competing priorities
• Keeping abreast of UK regulatory, business, and product developments in order to identify exam needs
• Raising standards and making an impact on the Private Banking’s culture
• Delivering investment proposition business management support and control ownership in a timely manner
Link to Candidate User Guide:
https://hsbchrdirect.service-now.com/nav_to.do?uri=%2Fhrsp%3Fid%3Dkb_article_preview%26sys_id%3D0c6b11641b6a+810cec0553a2d4bcb2a
(Or)
Go to the below link and type “IND GSC : IJP Applicant User Guide” in search bar.
https://hsbchrdirect.service-now.com/hrsp?id=hrdirect_employee_dashboard
You’ll achieve more at HSBC
HSBC is an equal opportunity employer 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. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, ****** orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”
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 HSBC Electronic Data Processing (India) Private LTD
Business: Private Banking, HSBC UK Bank Plc
Open positions:1
Role Title: AVP - Training And Competency Framework GSC’s
Global Career Band:5
Location: Bangalore
Recruiter Name: Nisha Sharma
Why join us?
GPB is expanding its offshore footprint across multiple sites. Within IWS UK Function this role supports regulated professionals from all teams within RM Credit Advisory, and IWS (over 150 staff) within the UK (PBUK) Private Bank to attain and maintain the required level of regulated professional development and plays key role in managing FCA regulatory compliance.
The Opportunity:
The role will also be responsible for managing multiple business management tasks to support the UK IWS business, including Best Execution Monitoring, Advice Suitability related KRIs/IC and RM Desk Head Checks, Business Continuity Management, Market Data Management, Recorded Phone Line Reviews and Maintenance, Governance Forum Submissions preparation (BCCs, RMMs, Cost Forums).
What you’ll do:
Principal Accountabilities: Key activities and decision making areas
• Establish and maintain excellent relationships with staff at all levels up to and including Managing Director within RM, Credit Advisory, IWS, Compliance and HR functions
• Monitor and coach the required level of regulated professionalism record keeping for existing staff:
• Coordinating between trainees, other internal stakeholders and training / exam providers to identify appropriate exam route;
• Maintain records of exams, ensuring such records are recorded in appropriate systems
• Maintain records of regulated staff and population reports
• Monitor Individual Accountability Regime population, and qualification checks, first point of contact for the IAR office in resolving queries
• Escalate poor behaviour or performance and champion best practice. Provide action oriented MI for inclusion in key governance forums such as BCC/RMM
• Input in to maintaining excellent external facing relationships with examining bodies and professional development firms, and internal sources of CPD delivery
• Fulfil SME and super user support for Tracsmart competency and CPD logging application (including testing, CPD QA, Hierarchy and CPD file upload)
• Be the primary liaison between PBUK IT and users of the Tracsmart application for ongoing system requirement needs
• Manage all scenarios with utmost integrity and discretion
• Work with Compliance, HR and the business to agree / clarify PBUK’s policy re exams, study, membership etc
• Key contributions to ongoing accreditation for the CPD programme from CISI
• Key contributions to annual FCA regulatory RMGA reporting and maintenance of the FCA Public Directory of Certified and Assessed Persons for PBUK.
• Review / facilitation of Statement of Professional Standing) licence renewals for regulated Advisers / Supervisors
• Fulfilment of IWS UK Business Management Support activities, including best & timely execution monitoring, Trade and Investment Suitability Related Management Information production, business continuity and market data management.
Customers / Stakeholders
• PBUK/IWS Senior Management
• PBUK/IWS Regulated Professionals
• PBUK HR and L&D Team & IAR Management Team
• PBUK Compliance Team
• UK Examining bodies
• UK Professional development firms
Leadership & Teamwork
• Lead by example, demonstrating individual core capabilities / behaviours / values including teamwork, achievement focus, planning
• Work collaboratively across HSBC and provide input in to collaboration with relevant external firms (e.g. CISI).
• Influence and negotiate with staff at all levels
Operational Effectiveness & Control
• Support CPD re-accreditation programmes
• Support regulatory and audit reviews as required
• Maintain FCA complaint records for the whole business
• Successful delivery of considerable optimization & efficiency gain project undertaken
• Timely completion of planned activities without any delay attributable to GSC functions.
• Recorded evidence by Line Manager and business stakeholders
• Cross train with other regions within BM team for optimal resource utilization
• Identify opportunities of cost save / Process reengineering which may include and not limited to:
• Lean ideas suggested / Implemented
• Six Sigma ProjectsCost save initiatives undertaken
• Realized Cost save
• Realised considerable efficiency gain
• Nil evidence of breaches towards the bank’s policies & regulations like Data Protection and Privacy, Anti Money Laundering, Information Risk policy and regulatory requirements, process specific regulations.
• Abide by Group Compliance policy
• Clarity and proactive mode of communication and on time completion of deliverables
• Positive feedback from agreed business and functional stakeholders
• Satisfactory CISI Continuing Professional Development (CPD) Audits
• Satisfactory internal audits
• Satisfactory Compliance monitoring outcomes
• Achievement of internal PBUK targets for CPD annual sign off completion and Statement of Professional Standing (SPS) production
• Ongoing SPS maintenance for all regulated staff-perpetuate their “licence to trade”
• Ongoing maintenance of Private Bank’s certified regime business population
• Internal and external stakeholder feedback
• Quality of record keeping
• Timely and responsive provision of required MI
• Control of financial expenditure annual SPS licences and memberships
• Satisfactory and timely completion of Business Management Support tasks for the UK Investment business
• Feedback from agreed key stakeholders / local Teams / colleagues and Management teams
• Engage our workforce to maximise contribution and commitment
Requirements
What you will need to succeed in the role:
• Educated to graduate level (or equivalent level of experience) (M)
• Excellent Microsoft Office capabilities, including Excel, Word, Powerpoint and Access. (E)
• Business systems interaction and data mining capability. (E)
• Awareness of Finance Industry Learning & Development, Training & Competency requirements and its elements e.g. training analysis (E)
• Knowledge of investment products including the way in which these products are traded (E)
• Knowledge of governance requirements related to suitability of investment advice provided to clients (E)
• Excellent oral and written communication skills (E)
• Excellent time management and prioritisation skills (E)
• Confidence to interact with and influence senior management within the Private Banking businesses (E)
• Good presentation skills (E)
• Commercially aware, solutions focused (E)
• Ability to apply technical knowledge to educate the Business appropriately (E)
• Possess the ability and drive to raise standards and make an impact on the Private Banking businesses’ culture. (E)
• Self motivated, enthusiastic and ability to learn and adapt (D)
• Ability to work well within a strong team environment (D)
What additional skills will be good to have?
• Proactive delivery of outstanding performance (client service, behavioural expectations, and adherence to internal/regulatory procedures and controls)
• Provision of a highly professional, competent and skilled service to the Business
• Understanding the boundaries between execution and advice
• Exercise any / all delegated authorities with due care and diligence.
• Proactive delivery of business management support to the UK and CI investment businesses, including the delivery of accurate proposition and trading related controls and Management Information.
Management of Risk
• Is aware of the Operational Risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.
• Impeccable record-keeping and attention to detail required to protect interests of the Bank and our advisers
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.
• Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.
Major Challenges
• Fostering and maintaining a ‘solutions led’ approach
• Dealing with all levels of seniority within the Business, and maintaining a good working relationship
• Maintaining and improving standards in a growing and diversifying business
• Empathising with the certified advisers, given high risk nature of your requirements, balance with competing priorities
• Keeping abreast of UK regulatory, business, and product developments in order to identify exam needs
• Raising standards and making an impact on the Private Banking’s culture
• Delivering investment proposition business management support and control ownership in a timely manner
Link to Candidate User Guide:
https://hsbchrdirect.service-now.com/nav_to.do?uri=%2Fhrsp%3Fid%3Dkb_article_preview%26sys_id%3D0c6b11641b6a+810cec0553a2d4bcb2a
(Or)
Go to the below link and type “IND GSC : IJP Applicant User Guide” in search bar.
https://hsbchrdirect.service-now.com/hrsp?id=hrdirect_employee_dashboard
You’ll achieve more at HSBC
HSBC is an equal opportunity employer 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. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, ****** orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”
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 HSBC Electronic Data Processing (India) Private LTD
💡 Quick Summary
Seeking a career-building opportunity? The AVP | Training And Competency Framework GSC|s position is now open for candidates interested in the Bank Jobs sector. This role in Bengaluru offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
