22 days old

Compliance Analyst\/Assistant Vice President, LCO

New York, NY
  • Job Code

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.


As the Compliance Analyst/AVP LCO, you will be an integral part of the team that provides advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. They are a key risk management role that has a broad remit and responsibilities, which include, but are not limited to; advice and oversight on Conduct, Regulatory Affairs & Policy (RAP), Controls, Monitoring & Testing (CMAT), Assurance, Regulator Engagement, conflict management and general compliance issues.

The remit may range from a small geographic area/country to global for a Function or Global Business Line.


About Us

Our purpose – Opening up a world of opportunity – explains why we exist. We’re here to 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 build a better world – for our customers, our people, our investors, our communities and the planet we all share.

You will be responsible for:

  • Fostering a positive culture of compliance by working proactively with the business line/global function/HOST, Business Risk and Control Management BRCM, and other compliance professionals to ensure that best practices are followed in accordance with the applicable laws, rules, regulations and internal policy
  • Following prescribed issue escalation protocols, monitoring and surveillance of business activities and revising procedures
  • Possibly serving as regulatory coordinators for a specific regulation
  • Serving as point of contact for an assigned business line, global function or HOST
  • Providing compliance support, advice and guidance to an assigned business line/global function/HOST and to the applicable Compliance functions
  • Supporting the team head to improve and maintain day-to-day to running of the compliance team at the Global/Regional/Country Level, in order to ensure the efficient decisioning and execution of tasks
  • Advise and guide assurance teams within Regional and Global Business Compliance teams on all RC matters and to assist and help promote the development and effectiveness of the regional/country/global business assurance team activity
  • Support the Group's RC strategy by identifying, informing and advising Senior Management of any developing issues and trends that may impact or be relevant to the Group's management as appropriate of RC risk
  • Work with the RC Heads to ensure the successful implementation of this strategy
  • Carry out impact analysis and advice on regulatory change; driving co-ordination and execution of the various Regulatory Compliance change work streams and embedding Operating Model changes while ensuring alignment with Global Standards
  • Ensure effective Regulator Compliance input to the governance and reporting processes operated by Global Business/Global functions/HOST
  • Establish management and administrative procedures and processes for own function or region/country, to ensure adherence to policies and manage operational risk, with due consideration to both HSBC and area or Global/Regional/Country activities


Posted: 2022-05-04 Expires: 2022-06-17

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.

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Compliance Analyst\/Assistant Vice President, LCO

New York, NY

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