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This role is in the Regulatory Compliance department covering the Markets &amp; Securities Services division of HSBC (U.S.) and will play a crucial role in supporting the compliance needs of the Global Equities franchise with a focus on the Equity Derivatives (EQD) business segment.</p>\n<p>The successful candidate will be responsible for supporting Second Line of Defence Risk Stewardship, including advising on compliance matters, monitoring activities, providing effective review and challenge on business operations, initiatives, and state of controls, and engaging on various aspects of core compliance disciplines for the EQD business, such as licensing/registrations, policies and procedures, training, conflicts, and supervision.</p>\n<p>The role requires making commercial decisions while considering regulatory compliance risks/obligations and working to ensure that the business operates within the HSBC risk framework. Collaboration with business management and other functions, such as Non-Financial Risk, COO, Operations, and Technology, is essential to ensure that best practices are in place to facilitate the success of HSBC&#39;s business operations and commercial objectives.</p>\n<p>Operational effectiveness and control are key aspects of the role, as is ensuring that the business adheres to industry standards and continuously innovates and improves methodologies to meet required standards and regulations. Leadership and teamwork are vital components of the role, as the compliance officer promotes a high-performance culture through collaboration and effective interaction.</p>\n<p>Key responsibilities include:</p>\n<ul>\n<li>Providing support to the EQD business by advising and guiding on compliance-related matters, as well as providing support in the same manner, to the wider Equities business locally and globally, as necessary and appropriate.</li>\n<li>Assisting on matters concerning business policies and procedures, regulatory matters including new rule proposals, existing and new equities-related products as well as operational, technological, and other issues in the business.</li>\n<li>Proactively working with business management, Non-Financial Risks, other stakeholders, and compliance officers to ensure best practices and systems are in place to facilitate sound business operations and the overall success of HSBC.</li>\n<li>Responsible for compliance reports, governance submissions, compliance reviews, projects and training efforts, as required.</li>\n<li>Responsible for carrying out projects with regulatory or substantial business impact.</li>\n<li>Building strong relationships, adopting a joined-up approach, to execute processes at pace and with minimum conflict.</li>\n<li>Ensuring that internal and external regulatory requirements are met, including interaction with regulators, as necessary and appropriate.</li>\n<li>Ensuring that the business operates using accepted industry standard methodologies, practices, processes and principles.</li>\n<li>Innovation and improvement of methodologies, through adoption of best practice and continued professional development and ensuring these meet required standards and regulations</li>\n<li>Drive and support a high-performance culture by delivering standards, fostering collaboration, and encouraging effective interactions.</li>\n<li>Agree responsibilities within formal and informal network, providing context, direction and confidence to deliver results.</li>\n<li>Collaborate with other business partners and Global Functions to ensure commonality and consistency of solutions.</li>\n</ul>\n<p>The ideal candidate will have:</p>\n<ul>\n<li>A Bachelor&#39;s degree – ideally in finance, economics, or a related field</li>\n<li>Extensive experience in a bank or broker-dealer, with a focus on equities markets, specifically equity derivatives – and be able to understand, interpret and apply complex regulatory requirements to business practices.</li>\n<li>Exceptional knowledge of equities markets including trading system and technologies, rules and regulations, risks, and other core aspects in the domain.</li>\n<li>Well-developed managerial, communications, negotiation, analytical, organisational, project management, and strategic and/or operational planning skills.</li>\n<li>Minimum of a bachelor&#39;s degree in business, related field or equivalent experience; 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Translate market intelligence into targeted account plans and campaigns.</li>\n</ul>\n<ul>\n<li>Identify and develop new use cases across banking workflows,customer support and contact centres, loan origination and underwriting, fraud detection, compliance documentation, and relationship manager enablement,collaborating cross-functionally to differentiate our offerings.</li>\n</ul>\n<ul>\n<li>Build consensus across complex stakeholder ecosystems including business line leaders, Chief Digital Officers, risk and compliance teams, and procurement.</li>\n</ul>\n<ul>\n<li>Serve as the voice of the customer internally, gathering feedback from users and conveying market needs to inform product roadmaps, security requirements, and go-to-market positioning.</li>\n</ul>\n<ul>\n<li>Contribute to the evolution of our financial services sales methodology by documenting learnings, refining playbooks, and identifying process improvements that drive productivity and consistency.</li>\n</ul>\n<p>You 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However, some roles may require more time in our offices.</p>\n<p><strong>Visa sponsorship:</strong> We do sponsor visas! However, we aren&#39;t able to successfully sponsor visas for every role and every candidate. But if we make you an offer, we will make every reasonable effort to get you a visa, and we retain an immigration lawyer to help with this.</p>\n<p><strong>We encourage you to apply even if you do not believe you meet every single qualification.</strong> Not all strong candidates will meet every single qualification as listed. Research shows that people who identify as being from underrepresented groups are more prone to experiencing imposter syndrome and doubting the strength of their candidacy, so we urge you not to exclude yourself prematurely and to submit an application if you&#39;re interested in this work.</p>\n<p><strong>Your safety matters to us.</strong> To protect yourself from potential scams, remember that Anthropic recruiters only contact you from @anthropic.com email addresses. 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