Operations Regulatory Compliance Stewardship

HSBC • Buffalo, NY

402d • $134,500 - $201,800

About The Position

The Operations Regulatory Compliance Stewardship role at HSBC is focused on providing guidance and support related to regulatory compliance within the organization. This position aims to foster a culture of compliance by working closely with various business lines and functions to identify and mitigate regulatory risks, ensuring adherence to laws and internal policies. The role encompasses a wide range of responsibilities, from advising on regulatory requirements to supporting the implementation of compliance strategies across global operations.

Requirements

• 10-15 years of work experience in Financial Services, Investment, or Consulting firms.
• Project Management experience with a focus on Compliance, Risk Management, or similar matters.
• Knowledge of Cybersecurity/Information Security, IT, Operations, and Artificial Intelligence.
• Solid understanding of US regulatory requirements related to securities and conflicts of interest monitoring.
• Bachelor's degree in finance or a related field, or equivalent experience.
• Ability to manage, negotiate effectively, and influence others.
• Strong analytical and problem-solving skills.
• Strong collaboration, communication, and stakeholder management skills.
• High level of professional and personal integrity.

Nice To Haves

• Experience in compliance with federal and securities-related regulations.
• Knowledge of Employee Compliance, FINRA, CFTC, SEC requirements.

Responsibilities

• Foster a positive culture of compliance by proactively working with Lines of Business and Functions to identify and mitigate regulatory risks.
• Serve as regulatory coordinator providing compliance support on Group DBS & Functions initiatives, including new communication platforms and innovation initiatives.
• Act as the RC advisory point of contact for various management areas, maintaining close communication with Resilience Risk Stewards.
• Provide advice on Licensing and Registration regulatory requirements and employee compliance operations.
• Support the DBS/Functions team lead in maintaining the compliance team's operations at the Global/Regional/Country Level.
• Advise and support teams within Regional and Global Business Compliance in areas related to Operations, DBS, and Functions.
• Identify and inform Senior Management of developing issues and trends impacting Regulatory Compliance risk.
• Work with RC Heads to implement the Regulatory Compliance strategy and carry out impact analysis on regulatory changes.

Benefits

• Competitive pay range between $134,500 and $201,800.
• Access to tailored professional development opportunities.
• Robust Wellness Hub.
• Diverse and inclusive work environment.
• Industry-leading volunteerism policy.
• Generous matching gift program.
• Comprehensive Sustainability and Climate Change Initiatives.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 10,001+ employees