US Asset Management Chief Compliance Officer

Job description
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.
Requirements
Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions. Bachelor's or Master's degree in Business or related field, with 5-10 years' related experience in compliance, regulatory and/or legal. Strong verbal, interpersonal, and communication skills with particular focus on excellent business writing (clear and concise) as well as presentation skills. Strong leadership skills a must 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, diverse 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! All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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