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HSBC · 20 hours ago

Assistant Vice President (AVP) in Markets & Securities Services (MSS) Compliance

New York, NY

Full-time

Onsite

Senior Level

HSBC is a global bank committed to opening up a world of opportunity for its customers. The Assistant Vice President (AVP) in Markets & Securities Services (MSS) Compliance will provide compliance advisory support to Trading and Sales teams, manage policies and risk frameworks, and collaborate with various functional areas to ensure compliance with regulatory requirements.

Financial Services

No H1B

Responsibilities

Interact with and provide real-time, compliance advisory support to Trading and Sales teams across Fixed Income and Foreign Exchange markets as they seek to achieve their business/commercial objectives in region

Manage policies, training, program elements, and risk framework disciplines, such as periodic regulatory and risk assessments, issues tracking and management, reporting and governance, and other aspects

Assist and, as appropriate take lead, on matters concerning business policies and procedures, regulatory matters including new rule proposals, existing and new products as well as reporting, operational, technological, and other issues in the business and functional areas

Establish positive, working relationships with Non-Financial Risk (NFR), COO, Operations, Technology, other Risk partners and other functional areas, such as Internal Audit, to collaborate on compliance solutions and manage risk issues

Think and operate proactively and readily help stakeholders and the wider compliance department – locally and, as necessary, globally – on cross-collaborative efforts, including project work, controls, trainings, surveillance, and other needs (e.g., regulatory change, transformation)

Assist with review and challenge on issues, projects/initiatives, responses to regulatory inquires and examinations and various other reporting and management information

Qualification

Finance degreeBanking experienceTrading markets knowledgeRelationship managementCritical thinkingInterpersonal skillsOrganizational skills

Required

Bachelor's degree – ideally in a finance or business related field

Experience in a bank or broker-dealer, covering fixed income and/or foreign exchange markets, or comparable experience

Strong relationship management skills

Foundational / technical knowledge of trading markets, including sales functions, operations, systems and technologies

Ability to demonstrate critical thinking and professional skepticism to identify and manage risk, provide review and challenge, and evidence effective risk stewardship

Technical knowledge, effective organizational skills, and strong interpersonal abilities