Manager, Compliance Assurance

Job description

Job description

Why join us?

HSBC is one of the world’s largest banking and financial services organizations. We serve more than 40-million customers through our global businesses: Wealth and Personal Banking, Commercial Banking, and Global Banking & Markets. Our network covers 64 countries and territories in Europe, Asia, the Middle East and Africa, North America and Latin America.

The role holder will require to support review teams in the region, and on occasion globally, to deliver ‘data-led’ reviews, and ensure innovation (using machine learning and artificial interlliagence where approporiate) can be most effectively utilised in assurance activities. The role holder will support the delivery of the Affirmative Assurance dashboard projects.  This will require the role holder will build and maintain effective relationships with internal and external stakeholders. The role holder will support the development of automated assurance solutions, collaborating with the other lines of defence to prevent duplication of efforts/ costs.

The role holder will no direct line management responsibility, but when relevant will coach or help develop other A&A staff.

What you’ll do:

·  Develop and implement automated testing tools relevant to compliance risks and in accordance with CA global test scripts.
·  Provide subject matter expertise for the assessment of the adequacy of controls in place within Businesses and Functions for RC and FC risk, with a focus on relevant operational processes and information technology platforms supporting compliance obligations.
·  Challenge the effectiveness of data integrity control activities conducted by the first line of defence.
·  Escalate significant control deficiencies in a timely manner.
·  Build strong relationships with all internal stakeholders, adopting a joined-up approach to execution of tasks with minimum conflict.
·  Develop/maintain positive and professional relationships with all key external stakeholders.
·  Ensure that management in Global Businesses and Functions are advised of matters arising, and emerging trends from analytics.
·  Provide subject matter expertise and demonstrate effective teamwork, engagement and collaboration within CA.
·  Ensure effective communication across CA, delivering key messages and updates as appropriate.
·  Set the highest standards through personal behaviour, and interaction with others.
·  Support high operational standards within the team through effective control work, avoiding high risk findings from Internal Audit or other evaluative internal/external teams.
·  Be creative/innovative in providing solutions to complex global issues/initiatives in an ever changing, high-risk environment.

Requirements

What you will need to succeed in the role

·  Knowledge of financial services and able to demonstrate an understanding and appreciation of the challenges facing the global financial services industry and the changing regulatory landscape surrounding compliance organizations within the banking industry.
·  Strong investigative and analytical skills and experience of using relevant software packages such as Python, SAS, SQL, VBA and Excel.
·  Extensive experience and proficiency working in Python and other associated data-science tools.
·  An ability to construct end-to-end data analytics and modelling workflows including data capture, cleaning, normalization, exploration, modelling design, development, and validation as well as visualization
·  Strong proficiency in visualization tools such as Qlikview and Tableau.
·  Proven track record of creating and delivering Analytical Insight and Business Intelligence.
·  Understanding of compliance and risk controls and should be conversant with relevant regional laws, regulations and overall regulatory environment.
·  Strong English language skills (written and spoken) and fluency in local language (written and spoken) preferred.