17 days old

Assistant Vice President, Manager Compliance Assurance US

New York, NY
  • Job Code

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.


Compliance Assurance (CA) Generalist roles act as an independent Second Line of Defense (2LoD) function, that undertakes risk-based testing of processes and outcomes of First Line of Defense (1LoD) Compliance control 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. Main business lines covered by CA include Markets, Treasury, Security Services, Global Banking, Commercial Banking, Wealth Management, Private and Retail Banking, and supporting functions (e.g. IT, Operations, and Risk Management).


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:

  • Works effectively in a team setting to assist in the planning and execution of assigned reviews. Interacts effectively with stakeholders to achieve CA and organizational objectives by utilizing the CA testing methodology.
  • Identify deficiencies and other issues impacting compliance controls. Drafts assigned portions of review reports in accordance with the CA methodology. Reports are written based on a risk framework and reported based on specific evidence gleaned from testing and review techniques.
  • Maintains current knowledge of business processes and compliance requirements, as well as of pertinent internal regulatory policy and procedural changes.
  • Maintains appropriate focus on own self-development. In conjunction with Team Manager, identifies and participates in approved developmental training.


Posted: 2022-05-02 Expires: 2022-06-17

HSBC offers the opportunity to develop a fulfilling career within a supportive and inclusive environment. We aim to be a place where everyone can achieve their full potential, regardless of their background.

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Assistant Vice President, Manager Compliance Assurance US

New York, NY

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