Assistant Vice President - Regulatory Registrations

Some careers shine brighter than others.

If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

 HSBC is one of the largest banking and financial services organisations 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 fulfil their hopes and realise their ambitions.

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

In this role, you will:

• Manage Wholesale GB HBEU UK Certification registration requirements for employees based in the UK and overseas, in partnership with MSS.
• Oversee the registration of MSS and Research employees across relevant certification and regulatory regimes.
• Embed and maintain procedures and controls relating to the Dodd-Frank Act, including contingency cover.
• Manage the registration and ongoing compliance of Front Office staff across a range of European exchanges, including contingency cover.
• Monitor employees in scope of the UK Certification Regime (Wholesale GB and MSS) to ensure a fair, consistent and compliant process is applied.
• Identify employees in scope for UK Certification through HR reporting and business requests, and maintain accurate population records.
• Conduct case-by-case Training & Competency assessments (new joiners, movers, and ad-hoc requests) to determine certification scope and regulatory requirements against HSBC benchmarks.
• Actively manage completion of learning and qualification requirements, including enrolment for external exams, progress tracking and timely completion.
• Provide employee support throughout the study programme, including wellbeing support, handling exam failures, and managing consequences with line management and HR, in line with HR policy (including certification withdrawal).
• Deliver governance and reporting: annual recertification, maintenance of master lists and historical records, MI/reporting for DFA/TCS, support regulatory visits/submissions (NFA/SEC), register Senior Executives (NFA/SEC), and manage the external learning vendor and exam timetable.

To be successful you will:

• Strong English communication skills (written and verbal).
• Strong understating of regulatory environments - minimum of 2 years’ experience in compliance, regulatory affairs/filings or a similar environment is essential.
• Previous experience liaising with regulators, or experience in a similar environment in Financial Services is highly preferred.
• Experience of training and competence processes and Senior Managers and Certification Regime (SMCR) with focus on Certification of investment banking staff.
• Knowledge of the regulatory framework relating to SMCR.
• Understanding of MiFID 2 T&C requirements
• Knowledge of Dodd Frank Act, National Futures Association and Securities and Exchange Commission registrations
• Meticulous attention to detail, strong organizational skills and time-management skills.

You’ll achieve more at HSBC

www.hsbc.com/careers

HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and, opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”

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