1+ months

Regulatory Inquiries Compliance Officer

Jersey City, NJ 07302
Apply Now
Apply on the Company Site
  • Job Code
  • Jobs Rated

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 position is to perform and manage the US Broker-Dealer / SWAP Dealer inquiry process. Further, the positon will aid in the Broker-Dealer and SWAP Dealer management programs. The individual will have the opportunity to be exposed to and learn various products and services associated with equities, fixed income, futures, and investment banking businesses. An individual with strong background in compliance within a financial services environment and be able to understand, interpret and apply complex regulatory requirements to business practices would be highly successful in this role.


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:

  • 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; drafting, collecting and reviewing inquiries for submission to regulators.
  • Frequent interaction with both regulators and key internal stakeholders across the three lines of defense. 
  • Aiding the entity compliance program on new initiatives, exam management, board papers, and preparation of the Annual Compliance Report and other day-to-day responsibilities generally supporting the compliance program for these entities.

Jobs Rated Reports for Compliance Officer

Posted: 2022-07-22 Expires: 2022-11-03

HSBC offers the opportunity to develop a fulfilling career within a supportive and inclusive environment. We aim to be a place where everyone can achieve their full potential, regardless of their background.

Featured Job

Featured Employer

Before you go...

Our free job seeker tools include alerts for new jobs, saving your favorites, optimized job matching, and more! Just enter your email below.

Share this job:

Regulatory Inquiries Compliance Officer

Jersey City, NJ 07302

Join us to start saving your Favorite Jobs!

Sign In Create Account
Compliance Officer
23rd2019 - Compliance Officer
Overall Rating: 23/199
Median Salary: $67,870

Work Environment
Very Good
Very Low
Powered ByCareerCast