Director, CIB Regulatory Compliance, Capital Markets & Advisory

In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. HSBC may engage in immigration sponsorship for this position if needed.

Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC, we use our unique expertise, capabilities, breadth, and  perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world – for our customers, our people, our investors, our communities, and the planet we all share.

The Director, CIB Regulatory Compliance, Capital Markets & Advisory “CMA” plays a key role in ensuring that Regulatory Compliance “RC” CMA across CIB is effective in identifying, managing and mitigating RC risks while ensuring timely advice is provided to the CMA business. The role also engages with global Risk and Compliance teams working on global matters to support the Head of Regulatory Compliance for CMA in a global capacity.

The RC function is a Second line of defense (LOD) function that includes Risk Stewards who are independent of the commercial risk-taking activities undertaken by the Group’s businesses (also referred to as “the First LOD”). These Risk Stewards are responsible for reviewing and challenging the activities of the First LOD to ensure that, as Risk Owners, they effectively managing the RC risks inherent in, or arising from, the conduct of their activities and for which they are responsible. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF).

The individual will play a key role in providing advice, and challenge to the CMA leadership team for key business decisions based on thorough understanding of key trends, opportunities and threats impacting the RC function. The role requires strong partnership with the Investment Banking business to drive and accelerate the execution of RC programs that directly impact business performance. This role will significantly contribute to the implementation of policies and controls into the CMA business and as such it will require close collaboration with various Risk and Investment Banking business functions.

Principal Accountabilities and Responsibilities:

• Be responsible for the provision advisory services to CMA in order to support clear understanding of RC risk exposure with respect to clients, transactions, and products. Leads day to day management of RC engagement with CMA. Support and enable senior management decision making and meeting their strategic objectives
• Maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices
• Foster a strong risk and control and compliance culture, including ensuring adequate management focus and demonstrative “tone from the top” and proactive risk management
• Strengthen CMA knowledge of risk and compliance management by incorporating risk and compliance considerations in all activities undertaken to protect and enable the business’ activities through a robust risk management understanding
• Act in accordance with HSBC’s purpose and values, being cognizant of all applicable local legal, fiscal, regulatory and shareholder requirements as they relate to the Regulatory Compliance sub- function and the operations of HSBC
• Prioritize the fair treatment of all customers, including particular attention to those who are vulnerable or have changing needs, whilst also ensuring that governance, processes and systems support staff to meet the needs of all customers
• Work proactively and collaboratively with all the CIB Regulatory Compliance teams to provide oversight of the risk management framework to enhance, standardize and integrate the various risk activities including the implementation of strategic projects and systems
• Work collaboratively as part of a team of Compliance Advisory professionals; and with senior executives within Coverage

Core Skills:

• Working understanding of CMA Products including Debt Capital Markets (DCM), Leverage & Acquisition Finance (LAF), Share buy-back programs, Structured Equity Finance (SEF) and Private Credit
• Risk Stewardship - Deep understanding of what it means to be a Risk Steward
• Risk Identification - Identifying and managing risks proactively to minimize or eliminate disruptions
• Risk-Based Decision Making
• Risk Reporting and Escalation - Demonstrates awareness of risks and takes a proactive approach to reviewing, managing, reporting, and escalating risks; effectively judges how to manage sensitive information and risky situations
• Regulatory Governance - Developing, implementing, administering, enforcing new rules/decisions and reviewing/revising regulation on a periodic basis to ensure relevant to current business landscape
• Business and Cross Functional Partnering - Engaging stakeholders and working together within business and or other functions effectively to achieve desired outcomes
• Strategic Thinking - Thinking conceptually, imaginatively, and systematically to achieve a set of tasks or goals
• Leadership – Helps to build an inspiring vision and create a positive environment by empowering others. Identify the strengths and abilities of employees and help oversee processes, guide initiatives and steer employees to achieve goals

As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming and inclusive work environment. You will be empowered to drive HSBC’s engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You’ll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future!

Your final fixed pay offer will depend on the candidate and several variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location.

All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.