1+ months

Swap Dealer Compliance Officer

Poughkeepsie, NY 12603
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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, Arlington Heights, Illinois or Chicago, Illinois. New York is the preferred location. 


The Swap Dealer Compliance Officer will have responsibility for advising business and support functions on swap dealer and security-based regulations. The Swap Dealer Compliance team is part of the Wholesale Compliance Team, and is responsible for the bank’s compliance program for both CFTC swap and SEC security-based swap business activities.


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:

  • Supporting the discharge of Chief Compliance Officer regulatory duties (includes day-to-day activities of our issues management program and coordinating with key stakeholders across the bank on swap dealer related projects and initiatives)
  • Advising business and functional areas on SD and SBSD requirements, including in the areas of trade reporting, business conduct, and risk management program
  • Assisting with the development of our required annual compliance reports, regulatory filings, and related supporting documentation.
  • Tracking, preparing, and reviewing responses to regulatory exam requests and inquiries, as well as other exam related matters.
Posted: 2022-08-22 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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Swap Dealer Compliance Officer

Poughkeepsie, NY 12603

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