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.
The Regulatory Risk Manager is responsible for supporting the US Corporate and Institutional Banking (CIB) business in the management, oversight, and compliance to all regulatory requirements, with a primary focus in the management of FINRA and SWAP Dealer licensed employees.
As our Regulatory Risk Manager, FINRA Lead you will:
- Ensure adherence to CIB’s Written Supervisory Procedures for FINRA and SWAP Dealer Supervision
- Maintain and administer Supervisory Attestation Tool and attestation process
- Coordination and support for registration activities, including licensing and designations
- Maintaining relevant procedures to ensure alignment with current regulatory obligations and global policies
- Proactively review and provide guidance on current risk levels and offer potential mitigating actions
- Driving operational efficiencies and risk reduction efforts
- Collaboration with Second Line of Defense to ensure proactive identification and communication of emerging risk
- Partnership with key business stakeholders to create, iterate and/or evolve controls to ensure appropriate management and embeddedness of risk processes
For this role, HSBC targets a pay range between $138,400.00 and $207,600.00
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.
Requisitos
You´ll likely have the following qualifications to succeed in this role:
- Experience working in a large multi-geographic and matrixed financial organization
- Able to manage multiple layers of work at varying complexity levels
- Comfortable engaging at senior and executive levels
- Able to find optimal solutions that balance business needs against risk considerations
- Can collaborate across different disciplines, including Compliance, Audit, and Business partners
- Knowledge and experience in risk management concepts
- Experience in regulatory risks, with an understanding specifically in FINRA, SEC, and CFTC
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!
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.