Assistant Vice President - Regulatory Registrations

Some careers have more impact than others.

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.

HSBC is one of the largest banking and financial services organizations in the world, with operations in 62 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realize their ambitions.

We are currently seeking an experienced professional to join our team in the role of Assistant Vice President - Regulatory Registrations.

Principal responsibilities

• Understanding the regulatory requirements and landscape of licensing risks across HBEU(HSBC Bank plc) for Global Markets, Securities Services and Research staff.
• Defining and maintaining a robust and effective framework to accurately scope staff and mitigate the risk of non-compliance. 
• Managing with the registrations and licensing process required by the FCA(Financial Conduct Authority) Certification Regime, Swap Dealer (CFTC-Commodity Futures trading & SEC-Security and Exchange Commission) and Stock Exchange admissions for staff to be compliant in their roles.
• Building and maintaining stakeholder relationships across the business and with external regulators
• Liaising with various departments including  Compliance, HR, COO(Chief Operating Officer), teams to gather necessary information to coordinate regulatory licensing requirements for new joiners and
• Coordinating registrations for new hires and existing employees to be licensed with the required regulators.
• Managing and updating internal systems ensuring information is current and accurate in line with regulators requirements.
• Leading conversations and educating other business areas on the scoping of licensing requirements and associated risk if non-compliant..
• Assisting with the monthly/quarterly, bi-annual/annual control frameworks managed by the Registrations Team.
• Supporting with annual policy and procedure document updates of any changes or additions to current processes.
• Ability to contribute and propose changes to processes; driving change and participating in enhancements, applying critical thinking skills to analyze current processes and challenge status quo if needed.