Audit Manager Regulatory CMP
Internal Audit (IAD)
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. We are currently seeking an experienced professional to join our team. In this role, you will:
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
任职条件 To be successful in the role, you should meet the following requirements:Good understanding of Regulatory Compliance risk management process as part of 3 Lines of Defense (3LOD) control framework
•Practical involvement with compliance monitoring and/or testing
•Ability to independently read and interpret financial services regulation
•5+ years of relevant Audit or Regulatory Compliance experience
•University Degree
•Relevant role specific compliance or audit qualifications You’ll achieve more when you join HSBC.
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