Job 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 Depew, New York office.

As a Compliance Assurance Manager you will participate as a tester on multiple Compliance Assurance (CA) testing reviews, as directed by CA management. Assist with the detection of issues and observations, reports, and follows up on regulatory issues that arise. Assures compliance with internal policies and procedures and with laws and regulations applicable to HNAH’s banking and brokerage activities in the U.S. Primary focus on control activities (e.g., first line of defense compliance monitoring functions) of the Banking businesses (i.e., Retail, Commercial, Private Banking), and in related support activities (e.g. Risk Management, IT, MIS, Operations). Secondary focus of the role is testing the control activities conducted in mitigation of financial crime risk.

About Us

HSBC is one of the largest banking and financial services organizations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfill their hopes and realize their ambitions.

You will be responsible for:

• Conduct planning and scoping, fieldwork/testing, review wrap-up, and issue management. To include but not limited to: researching regulations, detection of control gaps, developing testing steps, and writing issues. Participate on assigned compliance reviews, ensuring timely and quality execution of the reviews while ensuring adherence to internal policies and procedures.

• Providing assurance and challenge of the effectiveness of the risk and control activities conducted by the first line of defense, and determining the residual risk of identified coverage gaps. Assists Business and Compliance Management in determining the effectiveness of their compliance control environment and provides line of sight for compliance management into regulatory issues.

• Maintaining current knowledge of Financial Crime Risk; as well as Consumer, Commercial, and Investment Banking business processes and compliance requirements, in addition to pertinent internal regulatory policy and procedural changes. Maintain and help build working relationships with key stakeholders. Participates in special compliance reviews, risk self-assessment projects and any additional assignments/projects as required by management.

Requirements

Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions.

• Bachelors or Master’s degree in business, finance, or related field, with 5 years related experience proven and progressive financial services audit, operations and/or compliance management experience in compliance testing or equivalent.

• Depending on the role, required professional certification may include: CAMS, CANNON Trust, CISA, CRCM, CCRP, CIA, CFSA, CPA, etc. Incumbent should be prepared to seek additional certifications as the team expands its assurance efforts into other non-financial risks.

• Strong verbal, interpersonal, and communication skills with particular focus on excellent business writing (clear and concise) as well as presentation skills.

As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming, diverse and inclusive work environment. You will be empowered to drive HSBC’s engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You’ll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future!

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.