Asset Management


Control officer, sales/front office - contract

15 May England - Greater London, London Temp

Reporting to the Global head of GMCS Controls the Role Holder will be responsible for maintaining the GMCS risk and control assessment (RCA). This includes working with regional control teams and Business Managers to ensure identification of process risks and liaising with control owners to assess risk mitigants and control gaps requiring remediation.

The Role Holder will be responsible for the administration of the GMCS Business Control Committee meeting, ensuring the agenda/contents are 'fit for purpose' and that key control issues and emerging risks are addressed. This will include escalation of known Operational Risk Issues & Actions, Management Self-Identified Issues (MSII's), customer feedback monitoring and review of Management Information across the sales activity spectrum.

They will also play a key role in collecting and monitoring MI pertaining to the Front Office Supervision policy and liaise with the central conduct/control programmes to identify and remediate gaps across GM Corporate Services, including updates to Desk Instruction Manuals, salesperson attestations and training for GMCS staff.

Each regional Hub with a GMCS presence will have their own RCA with potential further country variations. These will have to be accounted for in the global RCA where control ownership and measurement of effectiveness may vary. Remediation plans for identified gaps will have to be mapped and tracked globally.

Whilst partnering with the various support functions, the role holder will also have to challenge the status quo and ensure that controls effectiveness assessments are robust and clear but also consistent. Associated metrics and quality assurance measures should also be in place.

The output of desk/control reviews, thematic reviews and other remediation/assurance work will form part of the risk mitigation inputs but performed in various areas of the bank where influencing of priorities will be a necessity. Monitor resultant actions and localised plans centrally must ensure effective closure in a timely manner. In some cases remediation will have to be driven by the role holder and resource gaps assessed and closed whilst in other cases central programmes will have to be incorporated into planned remediation.

Responsible for the continual assessment of operational risks inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructuring and the impact of new technology.

Support efficient adherence with HSBC Bank plc Group standards, manuals and policies and adheres to the defined work practices, internal controls and risk management standards associated with the role.

The role holder will adhere to, and be able to demonstrate adherence to HSBC internal control standards, including the 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 activities associated with the role, specifically HSBC Bank plc internal controls and compliance policies and manuals.

Technical Skill Requirements

Understanding of Markets businesses and products, specifically with a good knowledge of Sales

Educational Requirements

Degree holder, preferably with a professional qualification. Strong knowledge of internal control, governance/policy and risk management

Personal Skill Requirements

Strategic thinker with strong analytical and project management skills to enhance standards, policies and controls

Leadership and people management skills, able to drive change and provide positive influence to achieve organisation goals

Excellent written and verbal communication skills, able to negotiate and work effectively with senior business leaders across business lines and geographies

Strong problem solving and prioritization skills and be able to perform multitask under pressure with a keen eye for detail

Excellent team player with a proactive and self-motivated attitude and ability to think and act independently


Demonstrate experience in business management and experience of the sales function and related risks

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