Audit Manager, Regulatory Compliance, Conduct and Legal Audit

In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position.

Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world – for our customers, our people, our investors, our communities and the planet we all share.

The primary role of Global Internal Audit (GIA) is to help the Board and Executive Management to protect the assets, reputation, and sustainability of the HSBC Group. GIA provides independent and objective assurance over the design and operating effectiveness of the Group’s framework of risk management, control and governance processes. GIA possesses specialized capabilities and skills through its versatile, inquisitive, and diverse team of global professionals.

As our Audit Manager, Regulatory Compliance, Conduct and Legal (RCCL) Audit you will:

• Support the delivery of audits or play a key role in the audit delivery, which provide internal customers and stakeholders with critical assessments of the HSBC governance, risk and internal control frameworks
• Ensure that audit assignments are completed in a timely and efficient manner with due respect to the standards established by GIA, industry best practices and the relevant risk and regulatory environment
• Provide specialist professional advice on audit findings and recommendations, thus ensuring that they are both fully understood and properly implemented by management
• Demonstrate knowledge of the Regulatory Compliance frameworks, banking products and services, including developing trends, risks, controls, and expectations
• Support a strong risk and conduct culture across the Group and promote awareness and sound operational and strategic decision-making
• Analyze and determine key drivers of change for area of coverage and assess how these will impact audits. Use insights, industry knowledge and current developments to assess areas of concern
• Communicate issues and associated risks to the stakeholders and assist the Senior Audit Manager in drafting audit observations and issues, identifying the root causes and possible strategic implications where necessary
• Be a committed team player that upholds and delivers allocated assignments and helps others as needed to achieve common objectives
• Demonstrate effective communication and ability to maintain constructive relationships with stakeholders, team members, and GIA Management. Actively promote collaboration and sharing of ideas across GIA

You´ll likely have the following qualifications to succeed in this role:

• Strong relevant experience in the business, accounting, audit, compliance, or risk functions. Experience in assurance or audit roles is preferred. Experience in securities and market abuse compliance is a plus
• Preferably bachelors/master’s in accounting, Finance, Business Administration, or related field
• Good understanding of the US regulatory frameworks and regulatory requirements associated with financial services
• Experience in defining, building and using data-driven and AI-enabled techniques, including data analytics and process mining for audit work. Exposure to utilizing and developing data visualization dashboards and analytics using tools such as Alteryx, Qlik, Celonis is a plus
• Ability to communicate with impact and articulate in a meaningful way to wide and varied audiences
• Analytical and critical thinker, who can effectively manage competing priorities and complex challenges to deliver positive outcomes
• Be a team player who can contribute productively to team objectives, leading activities to achieve shared goals in a fast-paced environment
• An analytical thinker who is confidently approaching areas outside of your expertise in a logical, thorough and detailed manner, getting to the heart of key issues quickly
• Ability to acquire and understand new knowledge to assist in audits. Invest in personal development to enhance technical and business knowledge. Demonstrate curiosity in new areas
• Preference given to candidates with Certified Internal Auditor (CIA), Certified Financial Services Auditor (CFSA), Certified Regulatory Compliance Manager (CRCM) or Certified Information Systems Auditor (CISA) qualifications or a clear willingness to commit to obtaining a relevant certification

As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming and inclusive work environment. You will be empowered to drive HSBC’s engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You’ll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future!

Your final fixed pay offer will depend on the candidate and several variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location.

All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.