Sarbanes Oxley (SOX) Manager – Global Finance Sarbanes Oxley (SOX) Manager – Global Finance …

in Hong Kong
Permanent, Full time
Be the first to apply
Not Specified
in Hong Kong
Permanent, Full time
Be the first to apply
Not Specified
Sarbanes Oxley (SOX) Manager – Global Finance

The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (COVID-19), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at HSBC.  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 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 Finance is integral to HSBC’s purpose and strategy, playing a valued role in managing costs and deploying capital in the most effective way. Our global team of finance professionals partner with the business to provide trusted insights and forward looking analysis; accuracy; efficiency and control to frame and influence business decisions.


We are currently seeking a high calibre professional to join our team as a Sarbanes Oxley (SOX) Manager – Global Finance.


Principal Responsibilities

  • Ensuring compliance with the COSO 2013 framework to support HSBC’s compliance with Sarbanes Oxley requirements in coordination with Group, Internal Audit and PwC.
  • Perform SOX risk assessment for HBAP in accordance with Finance FIM requirements and as per Group instructions
  • Maintaining regular communication and engage with Global Businesses and Global functions to identify any potential issue that could lead to a SOX deficiency.
  • Perform deficiency evaluation, review and challenge. Ensure all deficiencies are recorded in HELIOS on a timely basis.
  • Coordinate Internal Control Certificate sign off from business or function heads to support HBAP CEO and CFO’s certification.
  • Working closely with the Assurance team to complete annual walkthrough process reviews and testing of SOX in scope processes, to assess the design and operating effectiveness of SOX controls.
  • Prepare insightful management information reports on internal control matters to support SOX governance meetings and HBAP Audit Committee meetings.
  • Supporting delivery of Group project activity to improve the control environment.


  • Qualified Accountant with experience preferably with banking and financial services in the field of risk and controls.

  • Experience in process mapping and risk and control identification is desirable.

  • Knowledge of Sarbanes Oxley Act 404, COSO 2013 Framework and HSBC Operational Risk Management Framework.

  • Possess understanding of HSBC’s banking processes, operations, systems and Finance Function.

  • Strong interpersonal skills and able to confidently deal with colleagues at various level including senior management. 

  • Excellent verbal and written communication skills in English, with a proactive approach.

  • Ability to communicate with impact, ensuring complex information is articulated in a meaningful way to wide and varied audiences.


To be considered for this role, the relevant rights to work in Hong Kong is required.

You’ll achieve more when you join HSBC. 


HSBC is 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. 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.

Issued by The Hongkong and Shanghai Banking Corporation Limited.

Company Overview

HSBC is one of the world’s largest banking and financial services organisations. We serve more than 39 million customers through four global businesses: Retail Banking and Wealth Management, Commercial Banking, Global Banking and Markets, and Global Private Banking. Our network covers 66 countries and territories in Europe, Asia, the Middle East and Africa, North America and Latin America.

We aim to be where the growth is, connecting customers to opportunities, enabling businesses to thrive and economies to prosper, and ultimately helping people to fulfil their hopes and realise their ambitions.

Whether you are looking for a first job or taking the next step in your career, we offer many ways for you to realise your ambitions. Come and work with us and you'll have opportunities to make connections all over the world and help build the bank for the future.

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