Senior Compliance Manager

Manages assigned general compliance functions and/or operations for business groups typically of a large, complex nature.
Principal Accountabilities
Manage assigned general compliance functions for business groups typically of a large, complex nature. Ensure adherence to the Compliance Officer and Money Laundering Control Officer handbooks.
Assist management in identifying and containing compliance risk, compliance monitoring and fostering a compliance culture. Work with management in the development and enhancement of products to ensure compliance with applicable laws and regulations; coordinate development and maintenance of supporting policies, procedures, agreements and contracts.
Serve as liaison for assigned businesses to foster good working relationships with internal audit and regulatory agencies affecting assigned business(es). Ensure appropriate accommodations for examiners, facilitate information requests and meetings, participate in exit interviews and coordinate management responses to examination findings.
Maintain awareness of major regulatory changes affecting assigned business(es); ensure appropriate communication and development of appropriate policy/procedure changes to remain compliant.
Identify and report all significant regulatory compliance breaches or gaps; work with legal and business management to design and implement changes to business policies and procedures as appropriate.
Develop external contacts among industry peer groups to determine/validate that the Company is following and instrumental in developing industry best practice.
Ensure compliance monitoring is in place, including processes for management of operational risk, in accordance with Company and regulatory standards.
Complete other related duties as assigned and provide management direction to foster effective selection, development and reward of subordinates while contributing to initiatives in support of the Company’s Diversity programs.
Specific responsibilities may include, but are not limited to, the following:
Manage OCC/FRB requests and serve as primary facilitator for fieldwork portion of OCC/FRB exams.
Serve as business partner for credit risk management and/or an area of marketing.

We are proud to be an EEO/AA employer. We value diversity and offer a quality workplace.




job Requirements



Minimum of eight years proven and progressive financial services operations, compliance and/or legal management experience or equivalent.

Bachelor’s degree in business, related field or equivalent experience; Master’s degree preferred.

Strong managerial, communications, analytical, organizational, project management and planning skills.

Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business.

Proficiency with personal computers and pertinent mainframe systems and software packages. HSBC Compensation
HSBC is a pay for performance company with policies and programs designed to ensure all employees receive fair and equitable compensation based on performance. Our compensation program is designed to attract, motivate, develop and retain the very best people.



HSBC Benefits
We are proud of our comprehensive flexible benefit program. Our program allows our employees to select the features that make the most sense for their individual and/or dependent(s) needs. Our benefit features include, but are not limited to; medical, prescription drug, dental, vision, life insurance, short and long term disability, retirement plans, stock option purchase plan, and a competitive time off program. / gj-hh