Some careers open more doors than others.If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. 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. 

Compliance Officer/Head of Compliance

Job Summary: The Compliance Officer is the principal, senior-level executive mandated to ensure adherence to all applicable laws, regulations, and circulars. This role is responsible for developing and governing the firm's compliance framework, monitoring all operations, policy adherence, reporting independently to the Board and regulators, and acting as the primary authority for all regulatory requirements.

Core Responsibilities & Duties:

• Ensuring and owning regulatory compliance across the broking, depository and clearing functions.
• Primary interface with SEBI, Exchanges (NSE/BSE) and Depositories (CDSL/NSDL) for regulatory filings, inspections and corrective action.
• Develop, implement, and maintain the firm's internal compliance policies and procedures to ensure adherence to the SEBI Act, 1992 and all associated Rules, Regulations, and Circulars.
• Provide guidance to the Board and senior management on regulatory developments and their impact on the business.
• Conduct continuous monitoring and surveillance of trading activities, back-office operations, and client fund/securities handling to detect and prevent non-compliance.
• Ensure all statutory and regulatory reporting (e.g., margin reporting, client data) is accurate and submitted within stipulated timelines.
• Independently report any material non-compliance observed directly to the Board of Directors and to SEBI as required by regulation.
• Maintain and update a central Compliance Register (circulars, timelines, actions) and ensure timely filings to SEBI/Exchanges/Depositories.
• Act as nodal person for regulatory inspections and audits; prepare responses, coordinate internal/external audits and follow up on remediation.
• Supervise investor grievance redressal escalation to SCORES and Exchange grievance processes; ensure investor charter disclosures are current.
• Review and approve product communications, marketing material and client-facing policy language for regulatory compliance.

Mandatory Qualifications & Eligibility:

• Academic: A graduate degree from a government-recognized institution is the minimum requirement. A professional qualification such as CA, CS, or LLB is highly preferred.
• Certification (Mandatory): Must possess a valid NISM-Series-III A: Securities Intermediaries Compliance (Non-Fund) Certification.

• Experience:
• 15+ years in compliance / legal / regulatory roles in broking, exchanges, depositaries or financial services.
• Direct experience handling SEBI inspections, SCORES, Exchange/Depository audits strongly preferred

Preferred Skills & Competencies:

• Deep, expert-level knowledge of SEBI, and Exchange regulations.
• Strong analytical, investigative, and problem-solving skills.
• High degree of professional ethics, integrity, and independence.
• Exceptional communication and interpersonal skills for liaising with regulators.

Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.Issued by The Hongkong and Shanghai Banking Corporation Limited, India