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 Swap Dealer Compliance Officer will have responsibility for advising business and support functions on swap dealer and security-based regulations. The Swap Dealer Compliance team is part of the Wholesale Compliance Team, and is responsible for the bank’s compliance program for both CFTC swap and SEC security-based swap business activities.


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:

  • Supporting the discharge of Chief Compliance Officer regulatory duties (includes day-to-day activities of our issues management program and coordinating with key stakeholders across the bank on swap dealer related projects and initiatives)
  • Advising business and functional areas on SD and SBSD requirements, including in the areas of trade reporting, business conduct, and risk management program
  • Assisting with the development of our required annual compliance reports, regulatory filings, and related supporting documentation.
  • Tracking, preparing, and reviewing responses to regulatory exam requests and inquiries, as well as other exam related matters.

Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions.

  • 4-8 years of compliance and/or regulatory experience, or equivalent with a focus on swap dealer regulations.
  • Knowledge of derivatives trading business structure and processes, including an understanding of cross-functional interdependencies
  • Good interpersonal, organizational, communications, analytical and project management skills.
  • Ability to work independently with minimal direction and as part of a team.


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.