Regulatory Compliance, Emea Head of Equities

2 months ago

London, United Kingdom HSBC Full time

-Job description

Some careers open more doors than others.

If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. 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.

Our Risk and Compliance function has a critical role to play in supporting, challenging and advising across all areas of the business through establishing policy, monitoring profiles, and identifying and managing forward-looking risk and compliance. We focus on creating an environment that encourages our people to speak up and do the right thing, as well as protecting our customers, the organisation and the integrity of the financial markets in which we operate.

Already an industry-leader in many respects, we want to continue setting standards and evolving to respond to strategic changes.

The EMEA Head of Equities will form part of the Global and Regional Regulatory Compliance leadership team and will be managing a team of three. They will act as a main leadership point of contact on matters related to Equities, Equity Derivatives, Structured Products, and Prime.

As an HSBC employee in the UK, you will have access to tailored professional development opportunities and a competitive pay and benefits package. This includes private healthcare for all UK-based employees, enhanced maternity and adoption pay and support when you return to work, and a contributory pension scheme with a generous employer contribution.

We are currently seeking an experienced individual to join this team in the role of Regulatory Compliance EMEA Head of Equities

In this role, you will:

- Act as the manager and lead for the Regulatory Compliance risk stewardship of the Equities, Equity Derivatives, Structured Products, and Prime businesses across the EMEA region.
- Be the senior leader point of contact for all matters related to those businesses.
- Responsible for ensuring robust review and challenge of relevant Regulatory Compliance risks.
- Ability to liaise, influence and challenge senior stakeholders and wider teams on matters related to relevant businesses.
- To provide the business with clear challenge, analysis, decisions and guidance in relation to business proposals, transactions and plans in the context of regulatory rules and regulatory change.
- Successfully manage three people in London.
Requirements

To be successful in this role you should meet the following requirements:

- Thorough understanding and ability to demonstrate advisory compliance experience in Equities and Securities Financing products.
- Knowledge of key UK and EU financial services regulations including, MAR, MIFID II, EMIR and the FCA Handbook.
- Knowledge of internal policies with the ability of staying on top of regulatory developments.
- Strong written, influencing and communication skills in order to effectively engage with senior stakeholders and wider teams on matters related to Markets and Securities Services Compliance.
- Investigative mindset to thoroughly analyse and review business conduct whilst ensuring HSBC is in line with internal and external policies and procedures.

The base location for this role is London / Hybrid.

You’ll achieve more when you join HSBC.

We believe that being open to a range of perspectives and cultures is vital for our business. We work hard to ensure our diverse and inclusive workplace reflects the communities we serve. We want everyone to achieve their potential - regardless of their gender, ethnicity, disability, religion, sexual orientation or age. If you have a different way of seeing the world, we are interested in hearing from you.

Being open to different points of view is important for our business and the communities we serve. At HSBC, we’re dedicated to creating diverse and inclusive workplaces. Our recruitment processes are accessible to everyone - no matter their gender, ethnicity, disability, religion, sexual orientation, or age.

We take pride in being part of the Disability Confident Scheme. This helps make sure you can be interviewed fairly if you have a disability, long term health condition, or are neurodiverse.

Telephone: +44 207 832 8500

  • Head of Equities Compliance

    6 days ago

    London, United Kingdom LSEG (London Stock Exchange Group) Full time

    About us: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable...

  • Senior Compliance Officer

    4 days ago

    London, United Kingdom Schonfeld Strategic Advisors LLC Full time

    We are seeking to hire an exceptional and experienced individual to join our compliance team in our London office. This role has the opportunity to cover the full breadth of compliance activity and has a strong focus on investment and markets advisory support; trading queries, trade related regulatory reporting, market operations and regulations, business...

  • Senior Compliance Officer

    2 months ago

    London, United Kingdom Schonfeld Strategic Advisors LLC Full time

    We are seeking to hire an exceptional and experienced individual to join our compliance team in our London office. This role has the opportunity to cover the full breadth of compliance activity and has a strong focus on investment and markets advisory support; trading queries, trade related regulatory reporting, market operations and regulations, business...

  • Emea Head of Regulatory Change, Policy and Training

    1 month ago

    London, United Kingdom WELLS FARGO BANK Full time

    **About this role**: Wells Fargo is seeking a Compliance Senior Manager. The Compliance Senior Manager is a results-oriented leader and senior member of the EMEA Compliance team who will take the lead role for three core elements of the Compliance Program: 1) Regulatory Change, 2) Compliance Policy and 3) Compliance Training. The Compliance Senior Manager...

  • Head of Equities Compliance

    6 days ago

    London, UK, United Kingdom London Stock Exchange Group Full time

    About us: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable...

  • Head of Equities Compliance

    6 days ago

    London, United Kingdom London Stock Exchange Group Full time

    About us: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we...

  • Regulatory Compliance and Legal

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...

  • Regulatory Compliance and Legal

    1 week ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international full-service commercial bank. They are looking for a Head of Compliance to hold the SMF16 & 17 registers for their London business. Responsible for the policies and procedures forming the compliance framework within the Branch Ensure the compliance framework is regularly reviewed and consistent with all applicable legal and...

  • Emea Head of Core Compliance

    1 month ago

    London, United Kingdom WELLS FARGO BANK Full time

    **About this role**: Wells Fargo is seeking a Compliance leader (Managing Director equivalent) to manage the EMEA Core Compliance function to ensure that business line and business partner functions are provided with accurate and timely advice in relation to regulatory compliance issues including the impact of regulatory changes. **In this role, you...

  • Compliance and Operational Risk Manager Equities

    1 week ago

    London, Greater London, United Kingdom Bank of America Full time

    Job Title: Compliance and Operational Risk Manager (Equities)Location: LondonCorporate Title: up to DirectorCompany Overview:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities...

  • Compliance and Operational Risk Manager Equities

    1 week ago

    london, United Kingdom Bank of America Full time

    Job Title: Compliance and Operational Risk Manager (Equities)Location: LondonCorporate Title: up to DirectorCompany Overview:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities...

  • Emea Head of Advisory Compliance

    1 month ago

    London, United Kingdom WELLS FARGO BANK Full time

    **About this role**: Wells Fargo is seeking a Compliance leader (Managing Director equivalent) to manage the EMEA Compliance Advisory function to ensure that business line and business partner functions are provided with accurate and timely advice in relation to regulatory compliance issues including the impact of regulatory changes. **In this role, you...

  • Regulatory Compliance Manager

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. Support the...

  • Regulatory Compliance Manager

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    Our client is an international banking group, offering a wide range of products and services including savings, loans, mortgages and insurance. Support the Head of Compliance in the identification, review, assessment and reporting of key regulatory changes affecting the bank, including the preparation of regulatory impact assessments. Support the...

  • Regulatory Compliance and Legal

    2 days ago

    London, United Kingdom London Stock Exchange Group Full time

    Head of Equities Compliance London Stock Exchange Group London, United Kingdom Posted 1 day ago Permanent Competitive About us: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable...

  • Regulatory Compliance and Legal

    2 days ago

    London, United Kingdom London Stock Exchange Group Full time

    Head of Equities Compliance London Stock Exchange Group London, United Kingdom Posted 1 day ago Permanent Competitive About us: LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable...

  • Compliance and Operational Risk Manager

    3 days ago

    London, United Kingdom Bank of America Full time

    Compliance and Operational Risk Manager (Equities) Job Title: Compliance and Operational Risk Manager (Equities) Location: London Corporate Title: up to Director Company Overview: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company...

  • Compliance and Operational Risk Manager

    4 days ago

    London, United Kingdom Bank of America Full time

    Compliance and Operational Risk Manager (Equities) Job Title: Compliance and Operational Risk Manager (Equities) Location: London Corporate Title: up to Director Company Overview: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company...

  • Compliance and Operational Risk Manager

    1 day ago

    London, United Kingdom Bank of America Full time

    Job Description: Job Title: Compliance and Operational Risk Manager (Equities) Location: London Corporate Title: up to Director Company Overview: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our...

  • Compliance and Operational Risk Manager

    1 week ago

    London, United Kingdom Bank of America Full time

    Job Description:Job Title: Compliance and Operational Risk Manager (Equities)Location: LondonCorporate Title: up to DirectorCompany Overview:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients,...