Regulatory Market Operations Oversight Specialist

hace 6 meses

Azcapotzalco, México HSBC A tiempo completo

-Job description

If you’re looking for a career where you can make a real impression, join Global Service Center (GSC) HSBC and discover how valued you’ll be. 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.

Regulatory Market Operations Oversight Specialist

Main objective: Manage market and regulatory initiatives for HSBC Markets & Securities Services Operations, focusing on swaps (CFTC-Commodity Futures Trading Commission), security-based swaps (SEC-Markets Commercial Brokers) rules and US Broker-Dealer regulations. Ensure their implementation is in line with internal and industry targets.

Primary Responsibilities/Essential Functions:

- Responsible for managing the delivery of regulatory operational changes for swaps and swaps-related regulations, and associated regulatory initiatives.
- Management of governance framework and controls around Trade and Transaction reporting
- Support the response to regulatory inquiries on behalf of operations
- Work with Operations Regulatory Project Managers responsible for other global regulation (EMIR-European Market Infrastructure Regulation, HKMA- Hong Kong Monetary Authority etc.), as appropriate, to ensure global compliance and process consistency where possible.
- Ensure the firm remains a prominent member of the market by representing HSBC Operations at external forums related to relevant initiatives (for example, ISDA- Swaps and Derivatives Association working groups); collecting internal views and opinions and communicating them to the market while documenting and distributing results and decisions to key internal stakeholders.
- Organize and chair internal working groups and meetings with the global Operations teams, Compliance and other stakeholders, as appropriate, to communicate requirements, agree tasks and owners and track implementation.
- Work closely with the global Operations, IT, Compliance, and Front Office teams to build required system changes that will ensure the firm is compliant with all regulatory mandates and industry go-lives by their various deadlines.
- Own the global regulatory reporting inventory including performing semi-annual review for completeness and annual review of risk ratings reflected in the inventory and coordination with bank wide inventory owners
- Work with line teams to monitor and prioritize open management self-identified issues, incident remediation and key actions to provide guidance and direction on risk mitigation
- Maintain the primary Operations relationship with various market vendors such as ISDA, MarkitSERV, DTCC- Depository Trust & Clearing Corporation and ICE-Intercontinental Exchange and work with them on their regulatory
- and initiative-related solutions while communicating and tracking all required changes internally to ensure system and process efficiency.
- Support coordination of external exams, participate in internal reviews and exams to negotiate findings and actions, track progress and confirm resolution
- Coordinate with Compliance and Legal to cover relevant industry forums (e.g. ISDA- Swaps and Derivatives Association SIFMA- Securities Industry and Financial Markets, AFME- Association for Financial Markets in Europe) and provide tailored summaries to Operations teams with respect to industry action, regulator consultations, Q&As, enforcement actions.
- Perform targeted reviews of processing performance against regulatory obligations, minimum control standards and industry best practices and make recommendations for any actions
Requirements

Knowledge and Skill Requirements:

- Minimum of 5+ years’ experience in derivatives or regulatory compliance
- Excellent written and verbal communications skills, including the ability to digest and summarize complex regulatory text and regulator guidance into specific requirements that can be actioned by Change, line and technology teams
- Experience working in a global team and the ability to tailor messages to a range of local regulatory requirements and local ways of working
- Experience working in a bank, asset manager, or custodian and demonstrated expertise / understanding of trade flows, settlement processes and reporting processes.
- Able to navigate a complex organization; solution oriented; proactive; consensus builder with confidence to engage with all levels of the organization and teams located in multiple global locations
- Detailed knowledge of individual G20 regulations as applied to the trade reporting and operations functions; working knowledge of local regulations in key markets and knowledge of key sources of regulatory updates and guidance; knowledge of securities and other financial instrument reporting) a plus.
- Minimum of a Business Administration or Business Science
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