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Global Internal Audit provides independent, objective assurance to management and the risk and audit committees as to whether the framework of risk management, control, and governance processes, as designed and represented by management, is adequate and functioning.
We are currently seeking a high caliber professional to join our team as Senior Regulatory Compliance Audit Manager . Principal responsibilities
This role has responsibility for Regulatory Compliance, Legal, Conduct and Culture. Regulatory Compliance includes both retail and wholesale businesses.
Legal includes all categories of legal risk including Data Privacy. Conduct includes both retail and market conduct. In respect of Culture, the role involves assisting the audit function in assessing the risk culture of the organization including carrying out deep dive culture audits.
Prepares individual audit plans to ensure that the scope, approach, resourcing and logistics of an audit are appropriately planned
Obtains, analyses and syntheses information for reporting on the adequacy of the internal control environment
Based on audit fieldwork, drafts audit findings which articulate key issues and risks and propose root causes
Reviews and submits audit reports or conclusions for each audit conducted or supported
Identifies business process improvements for segments audited as appropriate
Ensure that the results of the work performed by the team meets the expectations of audit and business management and the regulators
Maintain consistent interaction with business management
Liaise with external auditors
Past working experience in a relevant regulatory compliance role, for example in a first line such as business or function, second line such as Regulatory Compliance, third line such as Internal Audit, as a regulator or external audit with exposure to regulatory compliance.
Role relevant qualifications for example Accountancy, Audit or Compliance qualifications are desirable but not essential
A track record of gaining an understanding of customers' needs and delivering excellent customer service
Consistently achieved objectives set for them and taken action to improve their own performance
Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered
Contributed productively to team objectives, sometimes supporting and sometimes leading activities to achieve shared goals
Planned projects and activities systematically in line with business priorities, using a variety of analysis and problem solving techniques
Proven experience of successful project management, utilising relevant tools and techniques to ensure consistent delivery
You’ll achieve more when you join HSBC. Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.
HSBC is 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.
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