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Job Title: AVP – Senior Regulatory Compliance Officer – Surveillance Investigations
Company Name: HSBC
Location: Arlington Heights, IL
Position Type: Full Time
Post Date: 11/14/2017
Expire Date: 12/14/2017
Job Categories: Accounting/Auditing, Information Technology, Installation, Maintenance, and Repair, Legal, Military, Executive Management, Quality Control, Research & Development
Job Description
AVP – Senior Regulatory Compliance Officer – Surveillance Investigations
This individual will be part of the overall Regulatory Group Surveillance team covering investigations, enhanced surveillance and pro-active surveillance for the Americas across multiple businesses. 
Principal Accountabilities: Key activities and decision making areas
Role Context (The environment and operating conditions of the role including the extent of guidance and authority) 
  • Manages the investigation process (internal and external) for the identification of potential market misconduct.
  • Has responsibility for the Surveillance team’s role in Trade Reconstruction in accordance with Dodd Frank Act Title VII.
  • Works closely with Surveillance, Front Office, IT and other stakeholders with heightened supervisory reviews and pro-active (rather than reactive) targeted reviews.
  • Supports the Americas to effectively and promptly manage these investigations, to reduce the risk and impact to the firm.
  • SME with an excellent understanding of Surveillance communications and trading systems, as well as the US regulatory framework.
  • Coordinates and produces weekly and monthly MI reports to key internal stakeholders.
  • Sets priorities and makes day-to-day decisions independently. Escalates matters to senior management as needed.
  • Under the direction of a more senior officer, serves as a subject-matter expert for specific regulation(s), regarding its purpose and legislative history, remaining aware of changes to the regulation or to applicability of the regulation to the business lines in the US.
  • Is knowledgeable about the results of any relevant BRCM reviews, CMAT testing and Internal Audits and provides input into the action plans to address any weaknesses identified. Provides support to ensure remediation efforts are on track for assigned regulation(s), regulatory requirements and/or compliance risks.
  • Assists management in articulating any control weaknesses and status of plans to address these across HNAH, including for the Compliance Detailed Self-Assessment (CDSA). This role typically reports to a VP or SVP level regulatory compliance officer. In some cases, this role may report to an AVP Manager Regulatory Compliance Officer. 
Impact on the Business  
  • Under general supervision, works with management and the line of business Local Compliance Officers (LCOs) in the development and enhancement of products to ensure compliance with applicable laws and regulations.
  • Provides assistance in the development and maintenance of supporting policies, procedures, agreements, and contracts.
  • Assists management and the line of business LCOs in identifying and containing compliance risk, monitoring, reporting, and certification, fostering a compliance culture and optimizing relations with regulators.
  • Provides support as requested to ensure that a HNAH-wide Training Needs Assessment has been created for assigned regulation(s), regulatory requirements and/or compliance risk to reflect the training required by the lines of business and by Compliance on an annual basis.
  • Prepares summaries on compliance with assigned regulation(s), regulatory requirements, and/or compliance risks for senior management, and/or Committees/Boards or Executives as required. 
Customers / Stakeholders  
  • Fosters positive working relationships with business line management, internal control and appropriate senior management stakeholders to support adherence to assigned regulation(s), regulatory requirements, and/or compliance risks. Offers guidance and advice to appropriate stakeholders as needed.
  • Liaises with line of business LCOs, Business Risk Control Managers (BRCMs) and other Compliance stakeholders to ensure a strong second line of defense and in support of first line of defense efforts and responsibilities.
  • Assists with monitoring, in coordination with the line of business LCOs, the status of any related material compliance issues identified and reported by Compliance Monitoring and Testing (CMAT), Compliance Inspection Unit (CIU), BRCMs, regulators or Internal Audit and provide updates to business unit management as necessary. 
Leadership & Teamwork  
  • Promotes an environment that supports diversity and reflects the HSBC brand. 
Operational Effectiveness & Control
  • Under general supervision, provides input to the Local Compliance Officers and lines of business, to the Compliance Detailed Self Assessments (CDSAs), as well as to the Enterprise-wide Risk Assessments (ERAs). Input provided is as it relates to defined area of focus and expertise
  • Maintains related written compliance procedures.
  • Maintains awareness of major regulatory changes affecting area of subject matter expertise and coverage.
  • Helps ensure appropriate communication and development of appropriate policy/procedure changes to remain compliant.
  • Assists in identifying and reporting all significant regulatory compliance breaches or gaps; Works with legal, business management, and line of business LCOs, as required, to design and implement changes to business policies and procedures, as appropriate for areas related to subject matter expertise.
  • Escalates issues uncovered to the business and senior management through designated escalation channels.
  • To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators.
  • Complete other responsibilities, as assigned. 
Major Challenges (The challenges inherent in the role that require a continual test of the role holder’s abilities) 
  • Provides support to ensure business lines appropriately incorporate change to align with new or revised regulatory requirements. Supports business lines and Local Compliance Officers in development of solutions to ensure compliance with assigned regulation(s), regulatory requirements, and/or compliance risks.
  • Helps to ensure future business growth is attained in a responsible and conscientious fashion while the operation remains regulatory compliant and commercially sound. 
Management of Risk (Operational Risk / FIM requirements) 
  • Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues.
  • Adheres to the Firm’s Statement of Business Principles and Code of Ethics. 
Observation of Internal Controls (Compliance Policy / FIM requirements)
  • Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
  • Helps ensure alignment with regulatory requirements, HNAH’s Enterprise Compliance Policy and Program, the Compliance Risk Management Program CRMP Manual and other Group policies. 

As you complete your online application, please use source code: Historically Black Colleges and Universities. If you would like to notify HSBC's Diversity Recruiting team of your application, please e-mail

Qualifications & Requirements

Knowledge & Experience / Qualifications (For the role – not the role holder. Minimum requirements of the role.)


·         Minimum of three to five years proven and progressive financial services, compliance and/or legal management experience, or equivalent.

·         Strong knowledge of products across Global Markets and/or experience in investigations and forensic analysis.

·         Ability to undertake pro-active surveillance and identify trends and patterns.

·         Minimum of a Bachelor’s degree in business, related field or equivalent experience.

·         Well-developed communications, analytical, organizational, and project management skills, as well as attention to detail.

·         Broad scope of knowledge of assigned businesses, including products, operations, systems, and organization and thorough understanding of significant regulatory compliance requirements applicable to assigned business(es).

·         Proficiency with technology, pertinent mainframe systems, and software packages.



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Company Name: HSBC
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