Chief Auditor

Functional Description:  Group Internal Audit provides independent assurance to management and the Risk
and Audit Committees that HSBC’s risk management, governance and internal control processes are designed appropriately and are operating effectively.

People Responsibility: Yes
  
<Reports To>

•  Functional Reporting to Head of Audit, International Markets, Southeast Asia and Site Lead 
•  Entity Reporting to Chairman, HSBC Securities Taiwan (HCTW)
  
<Role Purpose> 
Act as the Audit Head for HSBC Securities Taiwan Limited, overseeing and managing audit activities by leading audit execution and delivery. Provide internal stakeholders with independent and insightful assessments of the governance, risk management, and internal control framework. Represent the audit function in senior governance forums, engage with regulators, and promote a culture of integrity, excellent, and continuous improvements.

<Principal Accountability>
• Support the completion of the allocated audit fieldwork in accordance with designated Global Audit Methodology.
• Work collaboratively with audit team to manage audits, including identifying key stakeholders, planning and organizing fieldwork, identifying weaknesses, escalating issues and supporting effective issue resolution.

<Job Contents>
• Represent audit function in regulatory engagements and ensure compliance with local and global standards.
• Interact with key stakeholders including regulators when necessary to strengthen Global Audit Group’s relationship and reputation.
• Work as a team to support and deliver the audit plan.
• Liaison with HSBC Regulatory Compliance teams to ensure business process are conducted in accordance with established policies and requirements.
• Apply professional knowledge and expertise to understand the business activities and develop appropriate audit approaches and solutions.
• Execute and complete the audit plan as approved by the Group Audit Committee with appropriate change via continuous monitoring.

<Skills Requirements>
• Minimum of 4 years’ experience in securities firms, or at least 3 years’ experience within financial institution. 
• Basic cash equities product and foreign securities product knowledge
• Strong communication skills with proven ability in both written and spoken English
• A highly motivated and pro-active self-starter 
• Good analytical and problem-solving skills 
• Flexible worker who demonstrates adaptability 
• Able to work under tight deadlines; Will commit to delivery on time 
• Able to work as part of a team and independently under minimal supervision 
• Global Personal Account Dealing covered worker

<License/Qualification Pre-requisite Requirements> 
• Senior Securities License is required 
• Financial Knowledge and Ethic Certificate (for role holder with Senior Securities License acquired after 1AUG06)