New York, New York


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.

This team member 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. This role involves frequent interaction with both regulators and key internal stakeholders across the three lines of defense. This team member will be responsible for drafting, collecting and reviewing inquiries; therefore, it requires technical knowledge, effective organizational skills, and strong interpersonal abilities. Specifically, the candidate requires critical thinking, technical knowledge and the ability to demonstrate professional skepticism to manage the high quality delivery response to the various regulators.

In this role, you will have the opportunity to be exposed to and learn various products and services associated with equities, fixed income, futures, and investment banking businesses. Additional responsibilities include: (1) entering, updating and tracking any new or follow-up regulatory inquiries in the firm's systems; (2) coordinating with regulators, as appropriate, to ensure responses are submitted on a timely basis and answering any follow-up questions regulators may have; and (3) preparing management information regarding open or significant Regulatory Inquiries. By assisting the team in the execution of these duties, you will bring efficiency to the team and the business and reduce the risk of regulatory enforcement actions and monetary penalties. In addition, you will have the opportunity to aid the entity compliance program on new initiatives, exam management, and other day-to-day duties, generally supporting the compliance program for these entities.

Impact on the Business
  • Direct and manage regulatory inquiry requests / risks and oversee regulator deadlines to ensure against regulatory and reputational risk.
  • Have a comprehension of the various inquiry requests and provide local Business and RCO's appropriate direction. Demonstrate the ability to challenge responses to ensure adequacy and accuracy.
  • Maintain thorough and current knowledge of regulations and business practices associated with the role (measured by direct manager's assessment).
  • Generally, supports an effective control environment by consulting with the line of business RCO and business partners on the development of and changes to products and services and processes.
  • Prepares summaries and statistical reports for reporting and to identify trends to be escalated to local Business and RCO's.
  • Manage additional projects and assignments to ensure compliance with Broker-Dealer and Swap Dealer compliance Programs.


Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions
  • Strong background in compliance within a financial services environment and able to understand, interpret and apply complex regulatory requirements to business practices.
  • Proven audit, compliance, financial services and/or regulatory experience, or equivalent.
  • Well-developed communications, negotiation, critical thinking, analytical, interpersonal, organizational, project management and strategic and/or operational planning skills.
  • Bachelor's degree in business, related field or equivalent experience; Master's degree and/or Juris Doctorate (JD) is a plus.
  • Ability to meet deadlines.
  • Proactive and independent.
  • Proficiency with personal computers and software packages including Microsoft Excel, Word, and PowerPoint.
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.

New York, New York

HSBC is one of the world’s largest banking and financial services organisations. Our global businesses serve more than 40 million customers worldwide through a network that covers 64 countries and territories.


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