Associate, Regulatory Registrations

1 month ago

Bengaluru, India HSBC Full time

**Some careers shine brighter than others.**

If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

HSBC is one of the largest banking and financial services organisations 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 fulfil their hopes and realise their ambitions.

**Role Purpose**

Partner with the MSS NFR teams and businesses to ensure embedding of procedures and controls related to the Dodd Frank Act. The role also requires registration and management of GM Front Office staff on a range of European Exchanges.

The role includes:

- Timely and accurate training and competency assessment of certified persons within Global Banking, Markets, Markets Treasury and Research. This includes new joiners, transfers and ad-hoc requests;
- Designate GBM individuals under the Dodd Frank Act;
- GM Trader registration with a select number of European Exchanges;
- Provide accurate reporting to stakeholders in scope population;
- Act in accordance with FLOD controls and assist in the constant review and analysis of all procedures and policies in support of the above activities.
- Administer and ensure timely and accurate registration of Senior Executives with the NFA and the SEC
- Run MI and work with the Swap Dealer Compliance teams on regulatory visits and any submissions to the NFA/SEC

**What you’ll do: (List out Key Responsibilities)**:
**Impact on the Business**
- US Regulatory landscape and European regulation on Training/Knowledge and Competence expertise
- Management of the CFTC and SEC regulators and Dodd Frank Act rules and regulation transferable knowledge
- Swap AP designations for HSBC Bank Plc entity: investment bank and private bank (UK entity only)
- Exchanges registrations
- Assist with team audit and auditors - as and when required

**Customers / Stakeholders**
- Liaise with new joiners, transfers and ad-hoc requests to identify examination and study requirements prior to starting in scope role.
- Liaise with the current examination and training service provider to ensure compliance with any Group study/examination time-table procedures.
- Liaise with Vendor regarding invoicing and yearly service management agreements.
- Liaise with Exchanges to ensure timely registration of traders requiring registration.

**Leadership & Teamwork**
- Work effectively with colleagues within the Compliance (local and in country), Global Immigration Team, IAR Management Office, HR Community and the Global Banking and Markets (Businesses) the team supports. This is to provide efficient and professional service delivery in respect of the Training and Competency processes and requirements of the Dodd Frank Act regulation.
- Support the cultivation of positive and professional working relationships with HR community, Compliance and the Businesses the team supports.

**Operational Effectiveness & Control**
- Ensure that all predefined deadlines are met.
- Ensure that MI continues to support and assist the requirements of the wider stakeholder community.
- Contribute to regular reviews of existing processes and service levels with the MSS NFR team and implement updates as to regulatory requirements.

**Major Challenges**

Dealing with all levels of seniority within the Global Banking and Markets (Business) and Compliance
- Work effectively in a highly pressurised environment with clear judgement.
- Managing conflicting priorities effectively.

**Role Context**

**Management of Risk**:

- Is aware of the Operational Risk scenario associated with the role, for example late registration of an individual undertaking approved activities, and acts in a manner that takes account of operational risk considerations.

**Observation of Internal Controls**

Requirements

**Essential**
- Some experience of training and competence processes and cross border regulations and their impact on Investment banking staff.
- Some knowledge of Dodd Frank Act, National Futures Association and Securities and Exchange Commission registrations
- Excellent standard of drafting/written documentation.
- Thorough working knowledge of Microsoft Excel.
- Excellent time management and prioritisation skills
- Bachelor's or equivalent University degree
- Strong written and verbal presentational skills.

**Preferred**
- Working knowledge of European foreign exchanges registrations
- Minimum 1 years’ experience in financial services in a similar role

**You’ll achieve more at HSBC**

**Issued By HSBC Electronic Data Processing (India) Private LTD

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