Assistant Vice President - Regulatory Registrations

HSBC
Bengaluru
Workplace: OnsiteFull timeFunction: Executive & General ManagementExperience: 2+ yearsSkills: ["Communication","Attention to detail","Organizational skills","Time-management","Governance"]

Own regulatory certification and registration processes for employees across the Wholesale GB HBEU UK Certification regime, MSS, and relevant European exchanges. Lead procedures and controls tied to Dodd-Frank Act, including contingency cover, and ensure fair, consistent compliance through monitoring, population records, and governance reporting. Manage training, competency assessments, exam progress, and employee support, while coordinating recertification, master lists, MI/reporting, and regulatory visit/submission support.

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FursaFursa
HSBC
HSBC
1 day ago

Assistant Vice President - Regulatory Registrations

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Last checked: 3 hours agoStatus: Live

Job Summary

Own regulatory certification and registration processes for employees across the Wholesale GB HBEU UK Certification regime, MSS, and relevant European exchanges. Lead procedures and controls tied to Dodd-Frank Act, including contingency cover, and ensure fair, consistent compliance through monitoring, population records, and governance reporting. Manage training, competency assessments, exam progress, and employee support, while coordinating recertification, master lists, MI/reporting, and regulatory visit/submission support.
Location: Bengaluru
Workplace: Onsite
Employment Type: Full time
Job Function: Executive & General Management
Seniority: Sr. Director level

Key Responsibilities

  • •Manage Wholesale GB HBEU UK Certification registration requirements with MSS for employees in the UK and overseas.
  • •Oversee MSS and Research employee registration across applicable certification and regulatory regimes.
  • •Embed and maintain Dodd-Frank Act procedures and controls, including contingency cover.
  • •Manage registration and ongoing compliance of Front Office staff across European exchanges, including contingency cover.
  • •Run training and competency assessments, administer learning completion (including external exams), and provide ongoing employee support and governance reporting (recertification, master lists, MI/reporting, and regulatory submissions/support).

Key Requirements

  • •2+ years of experience in compliance, regulatory affairs/filings, or a similar regulatory environment.
  • •Strong understanding of regulatory environments, including Senior Managers and Certification Regime (SMCR) with a focus on certification for investment banking staff.
  • •Experience liaising with regulators or working in a similar financial services regulatory environment.
  • •Knowledge of MiFID 2 T&C requirements and understanding of the Dodd-Frank Act, including NFA and SEC registrations.
  • •Excellent English communication and strong organization, attention to detail, and time-management skills.
Experience:2+ yearsFinancial services
Skills:CommunicationAttention to detailOrganizational skillsTime-managementGovernance
Languages:English

Company Brief

HSBC
Global banking and financial services organisation offering retail, commercial, corporate and investment banking, wealth management, and global markets services across Europe, Asia, the Americas and the Middle East.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: London, United Kingdom
Founded: 1865
Glassdoor
Glassdoor: 3.6
WebsiteLinkedIn