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Global Internal Audit provides independent, objective assurance to management and the risk and audit committees as to whether the framework of risk management, control, and governance processes, as designed and represented by management, is adequate and functioning.

We are currently seeking a high calibre professional to join our team as a Senior MSS Audit Manager.

Principal Responsibilities

Description

Global Internal Audit provides independent and objective assurance as to whether the design and operational effectiveness of the Group’s framework of risk management, control and governance processes, as designed and represented by management, is adequate.

We are currently seeking an individual to join the Global Internal Audit team in that covers Markets and Securities Services (MSS), in the role of Senior Audit Manager, based in Hong Kong.

Role description and opportunities:

Leadership and Leading Reviews

The candidate will be expected to:

• Lead multi-site and large single-site front-to-back audits of MSS businesses and be responsible for the execution of all stages in the audit lifecycle: announcement, team management and preparation, logistics, planning, fieldwork, testing, documentation and review, issue writing and agreement, report delivery, post-report issue validation, and ongoing stakeholder engagement
• Assist in the leadership of the team, through acting as a role model for junior team members, and fostering an open and collaborative working culture; and
• Contribute to the wider development of Global Internal Audit, through collaborating with other audit teams, dedicating some of your time to consider how audit can use data analytics, agile techniques and other innovations to more efficiently and effectively deliver its objectives

The candidate will be expected to:

• Possess subject matter expertise of Global Markets activities, processes and controls across lines of business (asset classes) and support functions
• Exhibit knowledge of key regulatory requirements impacting Global Markets activities
• Support a programme of continuous monitoring of Global Markets activities, including attendance at key governance forums and increasing the function’s visibility and credibility with key stakeholders through strong representation
• Influence positive change and discussion in relation to the governance and control framework, through a combination of point-in-time audit reviews, continuous monitoring and issue validation activities

Continuous Monitoring

The candidate will be expected to:

• Support a programme of continuous monitoring for a defined portfolio of businesses through regular bilateral meetings with stakeholders, participation in business governance forums, ongoing analysis of businesses’ risk profiles, and delivery of continuous monitoring reports; and
• Maintain and enhance stakeholder relationships through regular bilateral meetings, appropriate challenge in business risk governance forums, and keeping in touch with business, regulatory and industry developments

To be selected for this role, you will be:

• Familiar with details of MSS commercial rationale as well as risks and controls for one or more of the following: securities services including custody, fund services, trustee and fiduciary services, interbank markets, FX and commodities, credit and rates, equities, balance sheet management, cash and derivatives products and market infrastructure
• An expert in general global markets key risks, processes and controls front-to-back
• An effective communicator, verbally and in writing, with convincing presentation, persuasion and influencing skills, even when delivering difficult messages to senior stakeholders
• Dedicated to continually learning and improving your own skills
• Excellent at managing multiple competing priorities
• An analytical thinker who is confident approaching areas outside of your expertise in a thorough and detailed manner, getting to the heart of the key features and aspects quickly; and
• A solid team player, with a demonstrable desire to help the team as a whole achieve its objectives

The base location for this role is Hong Kong, with travel on an exceptional basis only.

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Issued by The Hongkong and Shanghai Banking Corporation Limited.