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Senior Audit Manager - Global Banking & Markets

Company: HSBC
Location: New York
Posted on: November 15, 2019

Job Description:

DescriptionThe SeniorAudit Manager-Global Market role is based within Global Banking & Marketsteam within Internal Audit which provides independent, objective assurance tomanagement and the risk and audit committees as to whether the framework ofrisk management, control, and governance processes, as designed and representedby management, is adequate and functioning. The function comprises anumber of Global teams and Regional Audit teams.The roleof the Senior Audit Manager-is within the Global Markets Audit team to lead reviewsof the major Global Markets business lines and would also include supporting reviewsof Global Banking, Global Liquidity and Cash Management and HSBC SecuritiesServicing business lines. Supports the Group Head of GBM Audit and seniormanagement team in providing independent, objective assurance & consultingservices designed to add value to the organizations risk management frameworkand underlying operations, specifically, in the area of Global Markets whichprovide trading and funding solutions, research and access to liquidity forRates, Credit, Equities, Commodities and Foreign Exchange products toInstitutional and Corporate clients.Yourresponsibilities will include:

  • Lead the management of lifecycle of both regional and global Markets audits from scoping, logistic planning, resourcing, execution and reporting;
  • Become a subject matter knowledge of Global Markets businesses including all key processes and risks;
  • Review the risks around Global Market activities such as trading and funding activities, research, risk management activities, Treasury and financing activities. Such risks might include conduct risks, trading beyond risks appetite, operational risks, regulatory risks and reputational risks;
  • Review all front to back processes and risks in functions supporting Global Markets activities including Product Control, Operations, Risks, Regulatory Compliance, Surveillance with a base understanding of Models and Technology and other risks impacting trading desks;
  • Review the interactions between Global Markets and the rest of the Banks including where such interactions can pose a risk to the Bank;
  • Review Management closures of regulatory issues including opining on whether actions are sufficient to address risks;
  • Lead and direct a team of highly experienced staff and be able to motivate, encourage and challenge them to provide very high quality and value-added results;
  • Support audits in Global Banking, Global Liquidity and Cash Management and HSBC Securities Servicing;
  • Maintain dialogue and communications with senior management on the major plans, projects and structural changes that will impact their business;
  • Ensure that HSBC senior management and stakeholders fully comprehend the governance, risk, regulatory and internal control implications of major changes and advise them accordingly;
  • Engaging with and providing strategic advice to internal stakeholders by utilizing knowledge of the business and the governance, risk and regulatory frameworks;
  • Stay abreast of internal and external changes in the risk environment and being able to assess their impact on the control environment within the Global Businesses and Functions. Provide a timely assessment to Executive Management;
  • Ability to work effectively with regulators, external auditors, consultants, Executive/Senior Management and other control functions such as Compliance, Risk Management and Finance, global audit units and governance/steering committees amongst others;
  • Manage people, helping themto define and execute on personal development objectives, designing anddelivering training sessions and executing mentoring or one-on-one coachingsessions, and assist in developing and delivering people initiatives to helpour team be at their best.Qualifications
    • Expertise in trading strategies, trading instruments as well as front to back processes and risks in functions supporting Global Markets activities including Product Control, Operations, Risks and Regulatory Compliance. Have a base understanding of Technology and Models risks impacting trading desks;
    • Have an understanding of Global Market activities and how these activities impact the strategy of an Investment Bank as well as the interaction between Global Market and the rest of the Bank;
    • Past working experience of at least 5 to 10 years in a relevant role, i.e. Global Markets professional in the following areas: Trading desks, Middle Office, Product Controllers, Traded Risks, Operations and Internal Audit Senior Manager of Global Market.
    • Experience working in a global team and have the capacity to execute both regional and global audits;
    • A self-starter who has the capacity to reach for higher bar and learn new business and risks;
    • Have the capacity to understand and navigate a matrixed environment as well as work with Subject Matters experts in other audit teams;
    • Dedicated to continually learning and improving your own skills, which could be demonstrated by holding relevant professional qualifications such as in accountancy, finance or risk management, but also keeping up-to-date with developments in the banking industry, markets and regulations;
    • Excellent at managingmultiple competing priorities on different concurrent projects, and able toensure delivery of objectives through analysis of options and coming topragmatic decisions; and
    • Strong leadership and have the capacity to inspire team to be a high performing team;
    • A solid team player, with a demonstrable desire tohelp the team as a whole achieve its objectives.
    • Excellent written and spoken communication skills; an ability to communicate with impact, ensuring complex information is articulated in a meaningful way to wide and varied audiences;
    • A track record of making complex business decisions with authority, even in times of ambiguity, considering the potential long term risks and implications;
    • A comprehensive understanding of risk management and proven experience of ensuring own/others' compliance with relevant regulatory processes.EEO/AA/Minorities/Women/Disability/VeteransJob Field: AuditPrimary Location: North America-United States-New York-New YorkSchedule Full-timeShift Day JobType of Vacancy Region vacancyReq ID: 0000DSIM

Keywords: HSBC, New York , Senior Audit Manager - Global Banking & Markets, Accounting, Auditing , New York, New York

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