Markets & Securities Services Control Testing Manager

MSS Control Testing Manager role act as an independent First Line of Defence (1LoD) function within the DBS CCO function with a focus on MSS. This role is responsible for leading risk-based testing of control processes within MSS, to provide comfort that the business is operating in line with relevant laws, regulations, principles, and standards and policies to ensure that MSS maintains adequate and effective controls. It will require the individual to manage, monitor and deliver Control Testing in line with DBS CCO Testing Methodology, as well as support, guide and advise team members on Control Testing.

Role holder responsibilities include, but are not limited to:

• Plan and lead fieldwork of Control Testing reviews to ensure timely delivery of the Testing plan whilst minimising disruption to MSS stakeholders.

• Oversee team of professional control testers to ensure work delivered is of required quality and meets all internal and external standards

• Assess the design effectiveness, operational effectiveness and associated continous monitoring plans of MSS Controls

• Work closely with key stakeholders (e.g. Control Owners, CCOs, etc.) to agree Control Testing outcomes and assist with establishing remediation plans

• Analyze observations identified by testers, apply judgement to define issues, propose creative and pragmatic solutions to risk and control issues

• Identify solutions for a variety of complex and unique control issues, utilizing complex judgement and sophisticated analytical thought

• Partner with wider DBS CCO team to develop approaches for addressing broader corporate emerging issues

• Provide expertise and guidance on Control Testing across CCO and applying critical judgment and decision making in relation to the identification and publication of Control Testing findings through identifying the key risks and issues

For this role, HSBC targets a fixed pay range between $79,700 and $119,500.

The final fixed pay offer will depend on the candidate and a number of variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location.

At HSBC, our overall goal is to provide a competitive Total Reward Package, with an appropriate mix of fixed pay, and variable pay, as part of an employee’s overall total compensation and benefits. Variable pay generally takes the form of discretionary, annual awards (sometimes referred to as a “bonus”). Additionally, HSBC offers a wide range of competitive and flexible benefits designed to help you improve your health and well-being, finances, and lifestyle.

In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position.

• Graduate/Post graduate in any discipline with strong academic background

• Demonstrable knowledge in control testing and risk management, internal control, or internal audit preferably within a financial / banking services operations environment

• Relevant experience in control testing, Internal Audit, Internal Controls and Risk assessment. Experience in Financial Service industry or an external audit firm is desirable.

• Knowledge of capital markets and applicable regulations, including FX, derivatives, and securities sales and trading (OCC, SEC, CFTC, FINRA, NFA, CME

• Risk or Audit qualifications (CRISC, CISM, CISA, CISSP, CIA or equivalent) are desirable

• Excellent interpersonal and communication skills (written and verbal).

• Self-starter and effective collaborator

• Proven project / process management experience

• Innovative and able to assess needs and propose solutions

• Excellent time management skills

• Ability to influence without direct management authority

• Strong team player.

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!

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All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.