Senior Regulatory Compliance Audit Manager - Global Internal Audit

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • HSBC
  • 21 Jul 18 2018-07-21

Senior Regulatory Compliance Audit Manager - Global Internal Audit

Some careers prize diversity more than others.
If you're looking for a career where you will be respected as an individual and valued for the contributions you make, join HSBC and discover how diversity drives our success.

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


Qualifications
Requirements
  • ​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.

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