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Job Title: Sr. Manager - Monitor Issues Analysis and Learnings
Company Name: HSBC
Location: New York, NY
Position Type: Full Time
Post Date: 11/22/2017
Expire Date: 12/22/2017
Job Categories: Accounting/Auditing, Finance/Economics, Information Technology, Legal, Executive Management, Franchising, Research & Development
Job Description
Sr. Manager - Monitor Issues Analysis and Learnings

Rule Purpose

  • Performing detailed analysis and summarisation of all tangible facts and material inferences in the Monitor reports.
  • Analysing and summarising Monitor findings to ensure that appropriate recognition has been given to Management Self-Identified Issues (MSIIs).
  • Analysing and summarising the read across to open audit, regulatory and other third party issues, (including MSIIs) to distinguish those which had not previously been identified.
  • Analysing and summarising root cause and accountability for both existing HSBC identified issues and for new Monitor identified issues and the relevant extent of consequence management steps taken.
  • Identification and analysis of broader themes and inferences in Monitor reports to identify implications and potentially significant impacts thereof.
  • Interacting with key regional stakeholders in Audit and FCC.
  • Analysing issues and identified impacts in reports to determine any additional control implications and read-across to other locations and businesses.
  • Working with INA to better understand potentially significant emerging risks.
  • Providing regular, timely and comprehensive reporting and progress updates.
Impact on the Business
  • Understand, explore and analyse the implications of findings and inferences raised in the Monitor reports.
  • Understand and keep abreast of the changes in the business and regulatory environment impacts on the HSBC governance framework.
  • Clearly communicate issues and associated risks as well as identifying the root cause and the possible strategic implications.
Customers / Stakeholders
  • Analyse the governance, risk, regulatory and internal control implications of the findings and inferences raised in the Monitor reports and comprehensively summarise such analysis for presentation to HSBC senior management.
  • Assist in facilitating a strong risk management and risk awareness culture amongst internal stakeholders.
  • Establish and maintain good relationships with internal stakeholders including Financial Crime Compliance in order to ensure a coordinated and integrated approach to the management of HSBC's regulatory and reporting requirements.
Leadership & Teamwork
  • Ensure that relevant information obtained from senior stakeholder relating to major and/or significant changes in the business environment and the internal control framework is summarised for appropriate dissemination in a timely manner to relevant GBL INA staff.
  • Promote and facilitate a culture of continuous learning and development within audit, encompassing both technical and non-technical skills and capabilities.
  • Promote and facilitate the use of HSBC standards, sharing of knowledge and industry best practices across audit teams as the basis for improving teamwork. 
  • Actively promote collaboration and sharing of ideas across GBL INA departments and units. 
Operational Effectiveness & Control
  • Develop and use relevant audit, analytical and forensic techniques and approaches in order to drive operational effectiveness and improve the overall management of assignments.
  • Use insights and knowledge of HSBC, the industry and current developments to utilise internal and/or external specialist teams to evaluate and assess specific areas of concern.
  • Effectively execute and manage review units and teams in accordance with budgets and allocated resources.
Major Challenges
  • Understanding, analyzing and summarizing the impact and implications of findings and inferences raised in the Monitor reports so as to allow for their effective and timely mitigation.
  • Planning, executing, aligning and maintaining engagements where the operating, governance, risk and regulatory environments are all constantly changing.
  • The seamless integration of assignments in a dynamic and complex environment.
  • Ascertaining and assessing the extent to which the HSBC governance, risk and internal control frameworks remain suitable for the changing environment and ensuring that HSBC is responding accordingly.
  • Challenging senior management and stakeholders on effecting significant change.
Role Context
  • Actively manages the relationship between the review team and internal stakeholders, ensuring that all relevant requirements are being incorporated into audit plans and suitably acted upon by the business.
  • Provides professional analysis on the interaction of clients, products and markets and their overall impact on HSBC's risk, operating and regulatory environment.
  • Establishes standards that are implemented across all assignments performed and monitors performance in accordance with those standards.
  • Actively promotes a good risk culture within HSBC.
  • Ensures that the review team is meeting the expectations of internal stakeholders.
Management of Risk
  • Maintain an ongoing dialogue with internal stakeholders as a basis for assessing the effectiveness with which HSBC management has understood and is implementing their requirements.
  • Consistently update and maintain knowledge of the legal, compliance and regulatory issues in respect of HSBC's key strategic challenges.
  • Where relevant, develop a clear understanding of the HSBC's customer focus, business proposition and the stakeholder context, in order to ensure that the Bank is delivering the right products to the right customers in the right way--thus safeguarding its reputation and franchise.
  • Consistently review and challenge the effectiveness of the HSBC governance framework and its impact on the internal controls framework.
Observations of Internal Controls
  • Maintain an ongoing dialogue with internal stakeholders as a basis for assessing the effectiveness with which HSBC management has understood and is implementing their requirements.
  • Consistently update and maintain knowledge of the legal, compliance and regulatory issues in respect of HSBC's key strategic challenges.
  • Where relevant, develop a clear understanding of the HSBC's customer focus, business proposition and the stakeholder context, in order to ensure that the Bank is delivering the right products to the right customers in the right way--thus safeguarding its reputation and franchise.
  • Consistently review and challenge the effectiveness of the HSBC governance framework and its impact on the internal controls framework.


As you complete your online application, please use source code: Historically Black Colleges and Universities. If you would like to notify HSBC's Diversity Recruiting team of your application, please e-mail diversity.recruiting@us.hsbc.com.

Qualifications & Requirements
Knowledge/Experience/Qualifications/Capability Level


  • Extensive knowledge of the financial services sector.
  • A subject matter expert in Financial Crime Risk Management and Analysis or Investigation.
  • Strong track record and experience in Internal Audit, Financial Crime Investigation or Consulting at a senior level.
  • Previous experience of reviewing complex and lengthy legal and / or regulatory reports.
  • Hands-on experience of large volume data analytics and knowledge of forensic investigation techniques.
  • Educated to degree standard.
  • Ideally a relevant professional qualification (e.g. ACA, ACCA).
  • Has worked in multiple organisations, ideally across multiple geographies.
  • Excellent communication and presentation skills.
  • Ability to deliver mulitple assignments against tight deadlines.
  • Strong communications, analytical, problem-solving, organisational, lateral thinking and interpersonal skills.
  • Ability to operate effectively in a globally matrix organisation structure
  • Willingness to travel internationally.

 

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Contact Information
Company Name: HSBC
Website:https://hsbc.taleo.net/careersection/externalnam2/jobdetail.ftl?job=00008V7U&lang=en&src=
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