Participates in financial, operational and compliance audit examinations of various businesses to independently and objectively identify and assess risks, evaluate controls and compliance with established policies, procedures and regulations, making recommendations for improvement to minimize risk of loss and enhance efficiency. Perform quality audit work in accordance with Group Audit Standards Manual (GASM) and Audit North America Instruction Manual (AUN IM) requirements.
Impact on the Business
· Design or review computer-assisted audit techniques (CAATs) and exception reports to assist the team in analyzing and evaluate data.
· Prepares initial draft of audit report for review and approval by Audit Manager.
· Periodically follows up on delegated audit issues reported to management. Follow up should verify that all issues noted have been corrected through the establishment of mitigating controls as noted in the recommendations of the audit report. Closure of issue should be discussed with AVP- manager prior to closing the issue.
· Ensures identification of business process improvements for segments audited as appropriate, to enhance operational effectiveness, customer service quality and efficient use of Company resources.
Leadership & Teamwork
· Maintains current knowledge of business, organizational, audit and technological changes as well as pertinent internal and regulatory policy and procedural requirements to ensure audit integrity, process innovation and service quality. Gain sufficient experience and knowledge in specific business units and areas to be considered a subject matter expert.
· Completes other related duties as assigned, including participating in special projects and investigations, policy and procedures reviews, due diligence, reorganizations, consolidations and new products and systems and supervising daily work activities and provide training to less experienced personnel for assigned audits as directed by management. Support the Company’s Diversity programs.
Operational Effectiveness & Control
· Review and assess Group and Company policies and effectiveness of compliance with internal control processes using audit programs that contain all levels of complexity. Assist in developing audit planning document and execute assigned work.
· Review issues and provide recommendations to further enhancements if necessary that may affect other areas. Ability to independently develop draft reportable issues and recommendations based on conclusions with audit team and effectively present the issues to management.
· Complete other responsibilities, as assigned.
Management of Risk
· Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues.
Observation of Internal Controls
· Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions
· Minimum of four years proven and progressive business, audit, and/or accounting experience or equivalent.
· Minimum of a Bachelor’s /Master’s degree in business, accounting, finance or related field.
· Strong written and verbal communication skills, analytical, problem-solving, decision-making, organizational and interpersonal skills.
· Proven project management skills.
· Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely.
· Proficiency with personal computers as well as pertinent mainframe systems and software packages.
· Detailed understanding of the business, risks and related controls within areas of responsibility.
· Professional certification (s) preferred.
· Ability to work with a diverse group of individuals at all levels.
· Ability to travel.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.