AVP Senior Regulatory Compliance Officer-Surveillance Assurance and Validation, HSBC Technology & Services (USA) Inc., Arlington Heights, IL; Manages the assurance risks within the Americas Surveillance tools, including data and model governance, validation, quality assurance and issues management, to ensure effectiveness, robust data input, compliance with firm standards and in accordance with regulatory expectations. Manages the Quality Assurance process for alerts closed by onshore resources. SME with an understanding of Surveillance systems, data inputs and controls. Maintains an overview of existing coverage and known gaps or weaknesses, and works with Surveillance and Change Management to address gaps and weaknesses. Coordinates and produces weekly and monthly MI reports to key internal stakeholders. Continuously reassess risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedure and practices, management restructurings, and the impact of new technology.
- Experience working with and interacting with global teams, including leading projects in different regions.
- Risk management
- Regulatory compliance areas including market conduct, selling suitability, duty to clients.
- Financial services, compliance and/or legal management experience
- Regulatory compliance requirements pertaining to financial products, banking operations, systems, and organizations
Vacancy Type: Full Time
Job Location: Arlington County, VA, US
Application Deadline: N/A