DESCRIPTION

At HSBC, the health and well-being of our employees remains of utmost importance. Many of our roles are permitted to work from home (in states in which HSBC is licensed to operate) until further notice. Upon resumption of normal operations, this role may be performed at our New York, New York office.

The Manager, Compliance Assurance will act as an independent Second Line of Defence (2LoD) function, that undertakes risk-based monitoring and testing of processes and outcomes of First Line of Defence (1LoD) Compliance activities, to provide assurance that the business is operating in line with relevant laws, regulations, principles, and HSBC Group standards and policies and to ensure that HSBC maintains effective compliance controls. They also perform deep-dive and thematic reviews on issues, opportunities and/or strategic change and may also carry out Stress Testing exercises

Our purpose - Opening up a world of opportunity - explains why we exist. We're here to use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world - for our customers, our people, our investors, our communities and the planet we all share. You will be responsible for:

• Carrying out thorough preparation and high-quality reviews of First Line of Defence (1LoD) controls
• Maintaining working relationships with key partners including keeping abreast of key business, regulatory and industry developments and any changes to procedures and practices
• Supporting the preparation of compliance risk assessments, drawing on the experience and knowledge of the compliance team and with the active participation of senior managers in the Business
• Supporting the preparation of monitoring plans and reviews for applicable business lines in sites
• Supporting to the preparation of consolidated MI on the results of monitoring for senior managers in the Business
• Supporting the provision of education and support to monitoring specialists in risk assessments, planning and conducting reviews
• Preparing reports to advise key stakeholders of the outcome of monitoring and review work, including rating findings and assigning owners/actions
• Agreeing reports of monitoring and reviewing work with the Monitoring Control Manager
• Recording details of compliance monitoring and reviewing work onto IRIS
• Tracking and following-up actions identified as a result of monitoring and review work and escalate when necessary
• Reporting progress against plans to Monitoring Control Manager

QUALIFICATIONS:

• Should have some auditing/testing background
• Data analytics experience preferred
• Should have general banking knowledge
• Familiarity with regulations and research
• Must be articulate
• MUST be analytical and inquisitive
• Must be adaptable

As an HSBC employee, you will have access to tailored professional development opportunities and a competitive pay and benefits package. We work hard to ensure that our workplace is a diverse, inclusive and meritocratic environment, and we have a strong dedication to sustainability. Our Employee Resource Groups (ERGs) play a central part in life at HSBC, including the development of our employees and our connection to the communities and customers we serve. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank for the future! #wayup 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.

HSBC is one of the world’s largest banking and financial services organizations. Our global businesses serve around 39 million customers worldwide through a network that covers 62 countries and territories. Our customers range from individual savers and investors to some of the world’s biggest companies, governments and international organizations. We aim to connect them to opportunities and help them to achieve their ambitions.