1+ months

AVP Control Room

New York, NY 10007
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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.


The Senior Manager Control Room Americas is a senior role reporting to the Head of Control Room Americas. The job holder will be required to perform all vital Control Room duties, including conflicts checks/clearance (including providing guidance and explaining decisions to senior members of the GB and CMB businesses) and being a key part of a team of Regulatory Compliance specialists to assist in coverage for conflict management related matters. A key objective of the role will be to consider and improve current procedures and work closely with Regulatory Compliance and Legal colleagues in order to assess and provide guidance on complex deal situations, taking into account legal risks and regulatory expectations.

About Us

Our purpose – Opening up a world of opportunity – explains why we exist. We’re here to use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to build a better world – for our customers, our people, our investors, our communities and the planet we all share.

You will be responsible for

  • Providing direction and support for the responsibilities and functions of the Global Control Room.
  • Acting as a key contact in the Global Control Room, including in relation to conflicts clearance, restrictions, wall-crossing, and research clearance
  • Developing and refining Global Control Room related policies and procedures in the key areas of coverage.
  • Attending industry discussions/roundtables pertaining to Global Control Room issues.
  • Providing clear guidance to other members of the Global Control Room as well as the Global Lines of Business, Global Functions, and RC colleagues.
  • Assisting in the assessment and rating of business regulatory risk in respect of conflict management related matters
  • Advising Global Business lines on the impact on the business of applicable laws, rules and regulations.
  • Supporting Global Business lines in discharging their responsibilities to follow applicable laws, rules and regulations.
  • Fostering good relations with all relevant regulators.
  • Escalating all material and significant breaches or potential breaches of regulations as soon as practicable to Head of Control Room Americas and the relevant Regulatory Compliance Officer
  • Escalating regulatory breaches to business and Regulatory Compliance Senior Management so that appropriate action can be undertaken to control identified risks.
  • Fostering a close working relationship with the local advisory teams and business, including keeping abreast of key business developments and any changes to procedures and practices.
  • Timely production of high quality Management Information.
  • Other ad hoc project work as assigned
Posted: 2022-08-03 Expires: 2022-10-16

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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AVP Control Room

New York, NY 10007

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