1+ months

Regulatory Compliance Advisor

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.

Serve as a Compliance Officer for Businesses in Markets with focus on Fixed Income, Currencies and Commodities as well as Sales cross asset, providing regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk. This individual generally works under the direction of the SVP LCO US Head of FICC & Sales Compliance, but is expected to act with a great deal of autonomy.

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:

  • Providing compliance advice and risk stewardship to businesses to ensure that appropriate compliance programs, policies, procedures, and other controls are in place and operating effectively and satisfy supervisory obligations and regulatory expectations.
  • Reviewing regulatory feedback and customer responses to ensure that compliance issues raised in feedback are appropriately responded to and necessary corrective actions are initiated.
  • Coordinating regulatory matters, including examinations, inquiries and investigations and liaise with the relevant Internal Audit, and control functions (e.g., Finance, Credit, HR, Corporate Secretary’s Office, Tax and Security), in relation to compliance matters including the provision of technical support and guidance.
  • General areas of responsibility include advisory on regulatory matters, monitoring of business activities from a compliance perspective, training and education, drafting and revising policies and procedures, working on exams and inquiries and risk stewarding the business led assessments. The LCO may also be assigned to serve as regulatory coordinators for specific regulations.
  • Work closely with the Markets Conduct Program within Markets RC and regional and country stakeholders to deploy Regulatory mapping and risk assessments and follow on implementation activities for the regional hub. 

Jobs Rated Reports for Compliance Officer

Posted: 2022-08-24 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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Regulatory Compliance Advisor

New York, NY 10007

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Compliance Officer
23rd2019 - Compliance Officer
Overall Rating: 23/199
Median Salary: $67,870

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