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.

We're looking for a Regulatory Relationship Manager to join our US Regulatory affairs Team, a key component of the Bank's Compliance Program. In this role, you will be required to lead engagements across business and functions to maintain high quality repeatable engagement processes including exam management, on-going supervision, and regulatory governance/reporting. The role reports into a Senior Vice President of Regulatory Engagement within the Bank's Regulatory Affairs Department in Compliance.

Additional responsibilities will include:

  • Advising executive and senior management on key regulatory matters and interactions with regulators to achieve appropriate outcomes
  • Collaborate with the Businesses and Functions to ensure consistent and clear communications to regulators
  • Oversee and coordinate regulatory examinations and reviews to ensure teams are organized and proactively addressing regulatory requests and concerns
  • Manage execution of day to day regulatory interactions conducted as part of ongoing supervisory meetings and information requests to maintain and strengthen the regulatory relationship
  • Support the development of appropriate and comprehensive responses and remediation plans when regulatory issues and concerns are identified 

Here’s what you can expect:

  • This second line of defense team plays a critical role in ensuring HNAH effectively manages our regulatory obligations and illustrates the Bank's culture of compliance and fosters a positive relationship with our regulatory agencies
  • This role will require individuals to have a high level of engagement and awareness of activities across the institution and with the securities/banking regulators.  A success candidate will be required to quickly gain an understanding of different products and processes in the Markets and Securities Services function.  A baseline understanding of the mechanics of securities origination and sales/trading is necessary
  • The role involves regular interaction with senior management and regulators, therefore the individual must demonstrate a high degree of professionalism, responsiveness and flexibility at all times
  • Candidates will need to provide timely and accurate reporting/escalation of regulatory activity and any noted or emerging issues or themes that can impact the relationship with our Regulators to Executive Management 

For this role, HSBC targets a fixed pay range between $135,000 and $170,000.

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.


In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position. 

  • A minimum of 8 years relevant experience working in the securities or banking industry, as a regulator, in a role directly interacting with regulators, or in a role within a Legal or Compliance Department.
  • A bachelors degree is preferred.  Applicable certifications for the area of responsibility are a plus, but not required (e.g., SIE, Series 7, 24).  
  • Regulatory knowledge - Must have a general understanding of the role of the regulator and their regulatory processes.  Should have experience with one of the following: Securities Exchange Act of 1934, the Investment Advisors Act of 1940, FINRA, SEC, or CFTC Rules
  • Markets / Securities Business knowledge - Must have a general understanding of key business policies, products, processes systems and roles; Specifically must understand at a high level debt, equity, rates, and derivatives products.  Must understand how the front office operations and the support provided by different infrastructure groups.   Must have the ability to learn quickly and ultimately gain a deeper understanding of the information requests from regulators.
  • Communication Skills - Demonstrates the ability to clearly communicate information (written and oral) and prepare formal presentations and reports. 
  • Analytical Skills - Has an ability to summarize issues and trends and demonstrates the capacity to understand root causes of issues.
  • Leadership Capabilities - Demonstrates strong personal initiative and takes full ownership of assigned tasks.
  • Teamwork - must be able to work well across diverse teams of individuals.  Willingness to assist others as needed.

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 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.