Investigations

Role Purpose

Financial Crime (FC) focuses on the specific financial crime threats the firm faces now and in the future, pioneering the
techniques and technology that protect our business, our customers, and the many communities in which we operate from the
harms associated with financial crime. FC harnesses intelligence, analytics, technology, investigation, information sharing,
and public-private partnership to achieve this end, always seeking the most effective and efficient means. FC is also partnering
with Financial Crime Compliance to build the case for a more efficient and effective regulatory approach by defining a
potential new regulatory landscape based on practical, tested innovation and serving as a thought leader in the ongoing public
debate on the future of regulatory compliance.

The jobholder is positioned in one of FC’s five global functions aimed at mitigating the harms associated with financial crime:
Investigation. In this role as the Manager Investigations, FC Major Investigations with HBCE-FR, the jobholder:

- Operates within FC investigative programs related to fraud, anti-money laundering, countering the financing of terrorism,

sanctions, anti-bribery and corruption. Ensures the quality and consistency of the investigations and the adequacy of the

resourcing across the investigative program.
- Undertakes Investigations within a programmatic capability to conduct complex and major, proactive, intelligence-driven

investigations, with a specific emphasis on potential or actual sanctions related concerns bringing together and drawing

upon resources in other investigative functions where the nature of the investigation spans multiple geographies or

financial crime types.
- Communicates information on the most significant and sensitive investigations and related mitigating actions to support

and facilitate a strategic appraisal of the relevant risks. Able to develop strategic capability to mitigate future threats in

response to these significant investigations.
- Identifies and escalates the most significant and sensitive investigations to ensure appropriate prioritization, resourcing,

and investigative strategy. Communicates to all key stakeholders the ongoing status of such investigations and the related

mitigating actions.
- Operates within a systemic capability to refer investigative findings and recommendations to other parts of the firm for

follow-on action to mitigate the identified financial crime risk, track the response, and ensure appropriate governance.

limited to innovations in analytics, identification of typologies, policies and procedures, the engagement strategy, training,

and a potentially more effective and efficient regulatory landscape.
- Supports the Country Head of FC and Regional Head of Investigations in communicating the most significant and

sensitive investigations and related mitigating actions to senior management to support and facilitate a strategic appraisal

of the relevant risks.
- Interacts effectively with country law enforcement, security and regulatory agencies, and financial intelligence units, in

furtherance of public-private partnership, information sharing, and training initiatives, as well as on specific investigations

of significance. Fosters good relationships with all of the Group’s counterparts in law enforcement, security and regulatory

agencies, and financial intelligence units, across the entire region where HSBC operates.
- Establishes seamless, trusting and mutually supportive relationships with the other components of FC (FC Sanctions, FC

Advisory), and GIRE when necessary.
Principal Accountabilities: Key activities and decision making areas Typical Targets and Measures Impact on the Business
- To work in a team of Investigation specialists to identify andinvestigate financial crime threats to the firm.
- To support strategies and initiatives among reporting teams insupport of COMPLIANCE objectives and ensure for the effective execution of Investigations within FC.
- To support execution of the regional investigative procedures orapproved country variances, which are designed to ensure the operational effectiveness of the investigative capability.
- To ensure effective information sharing across FC and with otherparts of the organization.
- To ensure investigative findings are effectively communicated to other parts of the organization for follow-on mitigation action, and results recorded.
- To escalate significant financial crime threats and management issues to senior leadership so appropriate action can be undertaken in response.
- Proactively identify key emerging financial crime threats withinthe jobholder’s functional area and interface with other global functional areas.
- Timely identification, escalation and recovery of losses affiliated with financial crime
- Completion of interim and year end performance management.
- Timely production of high quality MI.
- Maintain a holistic oversight of the response