Senior Audit Manager – Regulatory Compliance, Conduct and Legal in HSBC London,England,UnitedKingdom

Website HSBC

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Job Description

Senior Audit Manager – Regulatory Compliance, Conduct and Legal Internal Audit

Some careers open more doors than others.

If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

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.

As an HSBC employee in the UK, you will have access to tailored professional development opportunities and a competitive pay and benefits package. This includes private healthcare for all UK-based employees, enhanced maternity and adoption pay and support when you return to work, and a contributory pension scheme with a generous employer contribution.

We are currently seeking an experienced individual to join this team in the role of Senior Audit Manager

In this role, you will:

  • Support the Global Head of Regulatory Compliance, Conduct and Legal Audit (RCCL) and Global Internal Audit (GIA) Senior Management by initiating and leading delivery of audits; including major and/or highly complex topics, based on critical assessment of the business, governance, risk and internal control frameworks.
  • Work closely with Global Business, Global Function, Regional and Country Audit Teams to drive a coordinated approach and consistent delivery of audit work relating to Regulatory Compliance, Conduct Legal and Data Privacy.
  • Identify emerging regulatory risk across global jurisdictions and develop an appropriate audit response as the function’s Subject Matter Expert
  • Identify and analyse regulatory compliance, conduct and legal themes derived from audit work across the function to assist proactive risk management across the three lines of defence
  • Build relationships with key stakeholders and auditees across areas covered by GCCL team
  • Engage with, and provide strategic advice to internal audit stakeholders by utilising knowledge of the business and governance, risk and regulatory frameworks.
  • Manage the interface between internal and external stakeholders to ensure a common approach to and understanding of key deliverables.
  • Play an integral role in annual audit planning and ongoing monitoring.


To be successful in this role you should meet the following requirements:

  • Good understanding of Compliance, Conduct and Legal risk management process as part of 3 Lines of Defence (3LOD) control framework
  • Practical involvement with compliance monitoring and/or testing
  • Ability to independently read and interpret financial services regulation
  • Significant relevant Audit or Regulatory Compliance experience and qualifications.
  • University Degree

The base location for this role is London, but Birmingham or Edinburgh locations will be considered too. This role will follow hybrid working patterns.

You’ll achieve more when you join HSBC.

At HSBC we look to enable our employees to better balance their work / life priorities and have the flexibility required to meet challenging needs as they progress through different life stages. Where possible we will consider the following flexible working options: part-time working, job sharing, term-time working, and working from home and staggered hours. If in considering a role with HSBC you have a need for some flexibility in your working arrangements please discuss this with the recruitment team in the early stages of the application process.

As a business operating in markets all around the world, we believe diversity brings benefits for our customers, our business and our people. This is why HSBC is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of ethnicity, religion, age, physical or mental disability/long term health condition, marital status, sexual orientation, gender identity, gender expression, genetic information (including characteristics and testing), military and veteran status, and any other characteristic protected by local law in the jurisdictions in which we operate. Within the work place you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions. HSBC has in place processes in order to avoid nepotism, which means to avoid creating circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

We want everyone to be able to fulfil their potential which is why we provide a range of flexible working arrangements and family friendly policies

Recruitment Helpdesk:

Email: [email protected]

Telephone: +44 2078328500

Company: HSBC

Vacancy Type: Full Time 

Job Location: London,England,UnitedKingdom

Application Deadline: N/A

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