Regulatory Compliance Officer

Company: HSBC
Location: New York
Posted on: April 16, 2024

Job Description:

Job description



Our purpose - Opening up a world of opportunity - explains why we exist. Here at HSBC we 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 create a better world - for our customers, our people, our investors, our communities and the planet we all share. This position will have responsibility for working with the advisory compliance officer responsible for coverage of the Futures and Options business as well as the futures product traded on US exchanges across house desks globally. The individual will have responsibility for advising business and support functions on FCM regulations as well as providing support in responding to regulatory inquiries and examinations. In this role you will be responsible for:

• Interacting with and advising business and functional areas across multiple regions on regulatory requirements related to trading futures on US exchanges
• Assisting with review and challenge on responses to regulatory inquires and examinations
• Supporting the discharge of Chief Compliance officer regulatory duties (includes day-to-day activities of issue management and coordination on regulatory changes)
• Assisting with the development of an annual compliance report and related supporting documentation For this role, HSBC targets a pay range between $88,100.00 and $110,000.00. The final fixed pay offer will depend on the candidate and a number of variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location. At HSBC, our overall goal is to provide a competitive Total Reward Package, with an appropriate mix of fixed pay, and variable pay, as part of an employee's overall total compensation and benefits. Variable pay generally takes the form of discretionary, annual awards (sometimes referred to as a "bonus"). Additionally, HSBC offers a wide range of competitive and flexible benefits designed to help you improve your health and well-being, finances, and lifestyle.
  
  
  
  
  
  
  
  
  
  
  
  
  
  Requirements
  
  
  
  Youll likely have the following qualifications to succeed in this role:
  • Bachelor Degree preferably in Economics, Finance or Business Administration
  • This role involves frequent interaction with both regulators and key internal stakeholders across the three lines of defense; therefore, it requires technical knowledge, effective organizational skills, and strong interpersonal abilities
  • Ability to demonstrate critical thinking
  • Foundational technical (trading and/or markets) knowledge
  • Ability to demonstrate professional skepticism to manage responses to various regulators
  • Strong communication skills In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the U.S. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position. As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming, diverse and inclusive work environment. You will be empowered to drive HSBC's engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You'll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future! #wayup All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.
    
    
    
    
    

Keywords: HSBC, Fairfield , Regulatory Compliance Officer, Other , New York, Connecticut