Senior Audit Manager FCC Audit

Job description

The Senior Audit Manager role is an independent professional advisor who proactively engages and provides value-added expertise and advice to stakeholders and team members.
Leads and effectively manages large and complex audits that set high standards in terms of being conducted in accordance with the business, regulatory and financial crime risk profile of HSBC. Maintain the Audit Universe and Audit Entity Risk Assessments for the region through continuous monitoring activities and risk evaluation. 
Is Effective at writing audit reports that adequately communicate the issues and risks to HSBC.
Is Proficient at analysing audit issues and operating weaknesses as well as working with stakeholders to efficiently and effectively address them. 
Monitors progress of management action plans through timely issue validation and escalation of past due issues.
 
The role of the Senior Audit Manager (Financial Crime Compliance (FCC) Program Management) is to:
Support the Senior Manager to manage the FCC Audit Universe within the EU region and ensure that Risk Assessment Documents are updated at regular frequencies in line with Global Internal Audit (GBL INA) requirements,
Work closely with peer Senior Audit Managers and country coordinators to compile the Continuous Monitoring Reports for the region and support the Senior Manager in identifying and evaluating emerging risks, review audit plans and focus areas,
Support the Senior Manager in the production of audit management information and senior stakeholder/ board committee reports,
Facilitate the audit planning process, review audit plans and ensure adequate resources are assigned to audits,
Lead FCC audits, some major and/or highly complex, and 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, efficient and effective manner with due respect to the standards established by GBL INA, industry best practices and the relevant risk and regulatory environment,
Providing specialist professional advice on audit findings and recommendations, thus ensuring that they are both fully understood and properly implemented by management,
Oversee FCC Issue Validation process and work closely with the team to ensure timely closure / reporting of issues,
Manage a team of Audit Managers and provide continuous guidance and support to staff reporting in to the role, foster team spirit and motivate subordinates.
 
Your responsibilities will include:
Effectively execute and manage financial crime compliance audits in accordance with annual plans, budgets and allocated resources
Maintain the FCC audit universe and provide support to the Senior Manager in ensuring adequate audit coverage in the region,
Coordinate the issue validation activity along with the other Senior Audit managers,
Understand and keep abreast of the changes in the financial crime compliance environment that impacts HSBC governance framework
Critically analyse and assess the impact of financial crime compliance audit findings and recommendations on the business model and the future operating environment,
Clearly communicate financial crime compliance issues and associated risks as well identify the root cause and the possible strategic implications

Desired profile

The ideal candidate for this role will have:
Relevant product knowledge including knowledge of Banking products and services knowledge
Experience working in relevant environment/s, i.e. Audit experience in international financial institutions
Experience working in relevant market/context, i.e. Financial crime compliance/audit
Past working experience in a relevant role, i.e. previous experience in audit and compliance roles in Financial Services (FIS).
Experience of using relevant software packages, i.e. Ms office
Availability to undertake the travel required for this role, i.e. Up to 40% international travel to lead or participate in Financial Crime Compliance audits in the EU and Regions outside the EU.
Willingness to undertake the training/study required in this role, i.e. Certified Andy-Money Laundering Specialist (CAMs) and an Advanced Anti-Money Laundering qualification such as the ICA.
Role relevant qualifications, i.e. Certified Internal Auditor (CIA) / Certified Anti-Money Laundering Specialist /International Compliance Association (ICA) is desirable but not essential
Experience of supporting others' performance, enabling them to achieve by providing clear direction, motivation and support
Both spoken and written communication skills with experience of adapting your style and approach to the audience and message to be delivered
Contributed productively to team objectives, sometimes supporting and sometimes leading activities to achieve shared goals
Experience of creating and deploying comprehensive business/operating plans which consistently deliver desired results
A comprehensive understanding of the regulatory frameworks and compliance requirements associated with financial services and experience of working within these
The base location for this role is 8 Canada Square, London.
 
HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment.
 
Key search words: Internal Audit, regulatory compliance, financial crime compliance