Assistant Vice President | Regulatory Registrations

HSBC


Assistant Vice President - Regulatory Registrations
HSBC • Bengaluru, Karnataka • via LinkedIn
8 hours ago
Full–time
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Job description
Job Description

Some careers have more impact than others.

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.

HSBC is one of the largest banking and financial services organizations in the world, with operations in 62 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 realize their ambitions.

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

Principal Responsibilities
• Understanding the regulatory requirements and landscape of licensing risks across HBEU(HSBC Bank plc) for Global Markets, Securities Services and Research staff.
• Defining and maintaining a robust and effective framework to accurately scope staff and mitigate the risk of non-compliance.
• Managing with the registrations and licensing process required by the FCA(Financial Conduct Authority) Certification Regime, Swap Dealer (CFTC-Commodity Futures trading & SEC-Security and Exchange Commission) and Stock Exchange admissions for staff to be compliant in their roles.
• Building and maintaining stakeholder relationships across the business and with external regulators
• Liaising with various departments including Compliance, HR, COO(Chief Operating Officer), teams to gather necessary information to coordinate regulatory licensing requirements for new joiners and existing employees.
• Communicating effectively with staff and senior stakeholders providing support to answer any queries related to their regulatory status and registration process.
• Good understanding of the policy and procedures underpinning the management of regulatory registrations in Market Security Services
• Coordinating registrations for new hires and existing employees to be licensed with the required regulators.
• Maintaining accurate records of all registrations and ensure staff are compliant for annual renewals.
• Managing and updating internal systems ensuring information is current and accurate in line with regulators requirements.
• Leading conversations and educating other business areas on the scoping of licensing requirements and associated risk if non-compliant.
• Providing regular updates to the Regulatory Registrations Manager, Senior Team Manager and other relevant parties.
• Assisting with the monthly/quarterly, bi-annual/annual control frameworks managed by the Registrations Team.
• Supporting with annual policy and procedure document updates of any changes or additions to current processes.
• Participating in ad hoc projects, such as reviewing and (re-)designing operating models and controls.
• Ability to contribute and propose changes to processes; driving change and participating in enhancements, applying critical thinking skills to analyze current processes and challenge status quo if needed.
• Actively participate in team meetings, bringing solutions / suggestions / recommendations to the table.

Requirements
• 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.
• Meticulous attention to detail, strong organizational skills and time-management skills
• The ability to multitask and manage multiple tasks to meet deadlines – ability to prioritize workload.
• Proficiency in Microsoft Office (including Excel, Word and PowerPoint)
• Strong interpersonal skills - experience of working independently, collaborating as part of a team and engaging with global stakeholders.
• A fast learner with the ability to pick up new tasks and learn new skills
• Highly motivated, have a curious mind-set and a desire to learn.
• Requires understanding of the changing risk and controls landscape within Market Security Services.
• Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
• Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely.
• Exposure to international regulatory frameworks and practices, and requirements across different jurisdictions

You’ll achieve more when you join HSBC.

HSBC is 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. 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.
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