Assistant Vice President Senior Regulatory Compliance Officer

Our AVP - Senior Regulatory Compliance Officeris an integral part of the overall Regulatory Surveillance team covering assurance, validation, management reporting (MI) and issues management for the Americas across multiple businesses.

You will be responsible for
  • Managing the assurance risks within the Americas' Surveillance tools, including data and model governance, validation, quality assurance and issues management, to ensure efficiency, robust data input, compliance with firm standards and in accordance with regulatory expectations.
  • Managing the Quality Assurance process for alerts closed by onshore resources.
  • SME with an understanding of Surveillance systems, data inputs and controls.
  • Maintains an overview of existing coverage and known gaps or weaknesses, and works with Surveillance and Change Management to address gaps and weaknesses.
  • Coordinating and producing weekly and monthly MI reports to key internal partners.
  • Continuously reassess risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedure and practices, management restructurings, and the impact of new technology.
  • Ensures all actions take into account the likelihood of operational risk occurring, addressing areas of concern in conjunction with Risk and relevant line colleagues, and also ensures that actions resulting from points raised by internal or external audits and external regulators are accurately implemented in a timely fashion.
  • Sets priorities and makes day-to-day decisions independently. Raises matters to senior management as needed.
  • Under the direction of a more senior officer, serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US.
  • Is knowledgeable about the results of any relevant testing and Internal Audits or external regulatory review and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks.
  • Assists management in articulating any control weaknesses and status of plans to address these across HNAH.


Qualifications

  • Proven and progressive financial services, compliance and/or legal management experience, or equivalent.
  • Minimum of a Bachelor's degree in business, related field or equivalent experience.
  • Well-developed communications, analytical, organizational, and project management skills.
  • Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and thorough understanding of significant regulatory compliance requirements applicable to assigned business(es).


As an HSBC employee, you will have access to tailored professional development opportunities and a competitive pay and benefits package. We work hard to ensure that our workplace is a diverse, inclusive and meritocratic environment, and we have a strong dedication to sustainability. Our Employee Resource Groups (ERGs) play a central part in life at HSBC, including the development of our employees and our connection to the communities and customers we serve. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank for the future!

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.