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Regulatory Inquiries Compliance Officer

Company: HSBC
Location: Jersey City
Posted on: September 23, 2022

Job Description:

Job description
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 position is to perform and manage the US Broker-Dealer / SWAP Dealer inquiry process. Further, the positon will aid in the Broker-Dealer and SWAP Dealer management programs. The individual will have the opportunity to be exposed to and learn various products and services associated with equities, fixed income, futures, and investment banking businesses. An individual with strong background in compliance within a financial services environment and be able to understand, interpret and apply complex regulatory requirements to business practices would be highly successful in this role. 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: Directing and managing the firm's response to Regulatory Inquiries sent to HSBC covering a variety of registrants including the broker-dealer, swap dealer, and futures commission merchant; drafting, collecting and reviewing inquiries for submission to regulators. Frequent interaction with both regulators and key internal stakeholders across the three lines of defense. Aiding the entity compliance program on new initiatives, exam management, board papers, and preparation of the Annual Compliance Report and other day-to-day responsibilities generally supporting the compliance program for these entities.
Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions. Minimum 7 years proven audit, compliance, financial services and/or regulatory experience, or equivalent; Equities experience is a plus. Critical thinking, organizational skills, technical knowledge and the ability to demonstrate professional skepticism to manage the high quality timely delivery response to the various regulators. Must be a team player, have a positive attitude and be able to adapt and create working relationships within RC and with various inter-departmental groups. Minimum of a Bachelor's degree in business, related field or equivalent experience; Master's degree and/or Juris Doctorate (JD) is a plus. 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! 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.

Keywords: HSBC, Jersey City , Regulatory Inquiries Compliance Officer, Accounting, Auditing , Jersey City, New Jersey

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