1+ months

US Asset Management Chief Compliance Officer

New York, NY 10007
  • Job Code
    0000H90Q

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.

 

The Asset Management US CCO oversees the entire AMUS Regulatory Compliance effort. This includes overall responsibility for surveillance testing on various trading activities; conducting periodic internal reviews or audits to ensure that compliance procedures are followed; discussing emerging compliance issues with management or employees. Provides advice and guidance on new and or revised business strategies, initiatives, and projects, which may include assisting businesses in assessing the risks associated with new/revised strategies and recommending and or assessing mitigation efforts to reduce risk exposure; Disseminate written policies and procedures related to compliance activities. Taking direct ownership for specific projects within the program and ensuring timely completion; Responsible for delivery of the annual training and communication plan for assigned area as appropriate, and in coordination with Compliance Training and Outreach and the Regulation Coordinators. This includes assistance in conducting business unit training needs assessments, participating in the development of compliance training content for business unit personnel and providing ad hoc training as needed.

 

About Us

HSBC is one of the largest banking and financial services organizations 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 fulfill their hopes and realize their ambitions.

 

You will be responsible for:

  • Providing Risk Stewardship, credible challenge, Compliance related advice and guidance on new and or revised business strategies, initiatives, and projects, which may include assisting businesses in assessing the risks associated with new/revised strategies and recommending and or assessing mitigation efforts to reduce risk exposure.
  • Performing surveillance testing on various trading activities and the ongoing risk assessment and testing of those procedures, the firms Code of Ethics, and overall compliance program under Rule 206(4)-7.
  • Delivery of the annual training and communication plan for assigned area as appropriate, and in coordination with Compliance Training and Outreach and the Regulation Coordinators. This includes assistance in conducting business unit training needs assessments, participating in the development of compliance training content for business unit personnel and providing ad hoc training as needed.
  • Interact with and facilitate Compliance Assurance reviews, Internal Audits, and regulatory exams.

Categories

Posted: 2022-04-15 Expires: 2022-06-15

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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US Asset Management Chief Compliance Officer

HSBC Bank USA
New York, NY 10007

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