|Testing Specialist, Legal Assurance,GS|
Description The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at the HSBC Group. As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have
Some Careers grow faster than others. If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.HSBC is one of the largest banking and financial services organisations 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 fulfil their hopes and realise their ambitions. We are currently seeking an experienced professional to join our team in the role of
Testing Specialist, Legal Assurance
Job DescriptionHelp in preparation of annual plan for Assurance activities and refresh such plan on a quarterly basis and creation of CMAs for Assurance activities in Helios, in advance for the next Quarter.Extract information about the controls from the Helios and finalise in-scope controls (in accordance with the parameters recorded in DIM and/or agreed with Head of Global Legal Assurance.Prepare the draft of the notification or communication of the launch of Assurance activity (including informing the GC / Head of Legal of the locations in the scope of the Assurance Activity).Attending/Conducting /Leading the kick-off meetings with the relevant control owners and giving them brief about the proposed Assurance Activity.Prepare the ‘Information Request’ for each control basis the standard template and the information already available in Helios related to such Control. Discuss such draft ‘Information Request’ with London team and send the same to the relevant control owner (or their delegates).Providing clarification and answering to the questions, Control owners may have in relation to the information / documents asked under ‘Information Request’.Collate and save the information/documents received at the relevant team folders, and review the information and response provided by the Control owners and analyse if the information provided is answering the questions asked, identify the additional questions /information (including samples) which is required from the Control owners before Assurance team could conclude about the Design / Operative effectiveness of the controls.Conduct /Leading the ‘Walkthrough’ meetings with the relevant stakeholders like Control owners, (and on need basis with Issue owners or Risk Stewards).Complete CMAs in Helios and work plans (using IT tools or otherwise), prepare the draft of the Report, discuss the same with London team and finalise it. Evaluate the root cause analysis for all material issues and remediation plans in places to ensure that they are sufficient and fit-for-purpose. On need basis arrange/conduct/lead Close-out meetings with Control owners.Once the report is issued, work with control owners / issue owners to monitor the completion of the actions agreed following the Assurance activity. Perform issue closure validation.Support the Assurance Leads as required, including creating customised testing methodology and testing templates, preparation of reports and MIs, papers for various forums/meetings/committees.Such other tasks, primarily related to assurance or oversight, requested by the Head of Global Legal Assurance from time to timeEnsure the accurate, efficient and timely completion of independent Legal control assessments by Execution and delivery of assigned controls assessments.Ensure the quality of work delivered are up-to-standard and ensure compliance with global template, procedure and quality requirements by Accurate, timely and reliable testing of Legal controls.Understand and document the remit, process composition and team handovers of relevant controls by ensuring a consistent approach to testing activities across all LoBs / Legal themes, in accordance with standardised procedures.Identify key emerging trends and themes in relation to Legal risks to inform the assessment plan and the continuous development of GLA methodology and procedures by meeting agreed deadlines and targets; supporting the production of high quality management information (MI) covering GLA activities; utilising appropriate automation and analytics tools when testing assigned controls.Work closely with first line operations teams to understand the processes of assigned controls by effective stakeholder management, ensuring constructive assessment outcomes.Build strong relationships with all internal stakeholders, adopting a joined-up approach to the execution of tasks with minimum conflict, while ensuring the independence of GLA by Facilitating regular meetings with stakeholders and GLA senior management.Ensure that executive and senior management in GLA are advised of matters arising, and emerging trends, from assurance reviews and analysis.Provide stakeholders with insight into GLA activities, where required.Work as part of a team, able to collaborate to accomplish common goals.Perform assigned control assessments, taking responsibility for their successful delivery.Operate to a high standard, in alignment with HSBC Values, leading by personal behaviour and through your interaction with others.Embrace the high performance culture through proactive engagement and collaboration.Communicate effectively across GLA and Legal Function, delivering testing results and raising issues as appropriate.Able to work independently with minimal supervision.Provide support in developing GLA procedures and templates, ensuring high operating standards within the division.Provide support on any ad-hoc projects and assessments as requested by the Assurance Lead.Drive high operational standards within the team and avoid high risk findings from Internal Audit or other internal / external Assurance teams.Be innovative in executing all responsibilities and providing solutions to complex issues in a dynamic, high-risk environment.Be aware of the operational risk, primarily through identification and management of Legal risk associated with business activities.The role holder will also be required to continually reassess the operational risks associated with the division, taking into account changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.The role holder is responsible for ensuring that assigned control assessments are performed in accordance with GLA standards.Maintains HSBC internal control standards, including timely implementation of internal and external audit actions together with any issues raised by external regulators.To assist in the discharge of accountabilities set out in the Legal FIMs by proactively assisting Head of GLA and on need basis the Legal Risk Stewards in their responsibilities.
Minimum of 5 years proven experience in testing, audit and/or legal management experience.Working knowledge of Legal Risk Management and/or the aptitude to develop this understanding in good time, and knowledge of relevant laws and regulations.Minimum Bachelor’s degree in related field such as science, law or commerce. (preference to intermediate CA /ICWA/CS)Proven ability to multi-task and working independently under pressure to tight deadlines in a challenging and fluid environment.Experience of process mapping and delivering professional reports and presentations gained within a financial services organisation or audit/consulting practice.Awareness of good risk management and governance frameworks including 3 lines of defence criteria.Understanding of the activities of relevant business lines and associated Legal risks.Strong interpersonal skills with the ability to communicate effectively and to engage with HSBC staff at various level of seniority.Ability to foster relationships whilst providing adequate challenge and effecting change.Experience utilising assurance automation and analytics tools preferred.Fluent in both oral and written English.Proficient with skills like microsoft office, excel, powerpoint presentations etc.
You’ll achieve more at HSBC
HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and, opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.
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