Director, Regulatory Change Lead (Equites and Global Credit & Financing)

Role purpose

The Regulatory Change Lead will establish and run a dedicated regulatory change capability across Equities and Global Credit & Financing (GCF). The role provides a single front-to-back view of regulatory change impacting these two asset classes supports the businesses in operating safely and in conformance with new and existing regulations and maximises synergies where Equities and GCF share products clients infrastructure and control frameworks. The role works in close partnership with the respective business COOs and NFR teams.

Regulatory Change Lead Equities and Global Credit & Financing

Key Responsibilities

• Regulatory Pipeline Management

• • Maintain an integrated up-to-date forward view of all regulatory changes impacting Equities and GCF.
  • Continuously prioritise the pipeline to inform planning resourcing and risk management across both asset classes.
• Business Impact Assessments

• • Coordinate and facilitate consistent Business Impact Assessments (BIAs) across Equities and GCF.
  • Ensure BIAs cover products clients processes systems data and conduct risks using a common template.
• Dig Up the Road Once Impact Analysis
  • Design and run a standardised process to analyse regulatory impacts once and reuse outputs across desks and regions.
  • Identify common policy process control and system changes that can service multiple regulations in both Equities and GCF.
• Cross-Asset Dependency and Synergy Mapping

• • Develop and maintain a view of dependencies and overlaps between regulations affecting Equities and GCF.
  • Use this view to sequence work sensibly avoid conflicts and identify opportunities for shared or reusable solutions.
• Holistic Implementation Planning
  • Build and own a single implementation plan for regulatory change across Equities and GCF with clear milestones owners and critical paths.
  • Optimise use of shared resources (e.g. Technology Operations Risk and Control functions) across both asset classes.
• Safe Operation and Partnership with COOs and NFR
  • Support Equities and GCF in operating safely and in conformance with existing and new regulatory obligations.
  • Work closely with the respective business COOs and NFR teams to embed regulatory requirements into business strategy governance and control frameworks.
  • Ensure regulatory change delivery remains aligned to risk appetite conduct expectations and HSBC control standards.

• Stakeholder Communication

• • Produce concise high-quality materials on regulatory change and progress for stakeholders outside the asset classes (e.g. Group Risk Compliance other lines of business).
  • Highlight cross-asset synergies key risks dependencies and decision points for senior management.

Benefits and Impact (Equities and GCF)

• Efficiency: Reduced duplication of analysis and build by leveraging common solutions across Equities and GCF.
• Consistency: Harmonised interpretation and application of regulations where the two asset classes share products platforms and processes.
• Control: Stronger joined-up assurance that both businesses operate safely and within regulatory and conduct expectations.
• Enhanced use of COOs/NFR: Single coordinated counterpart for each COO and NFR team enabling faster more coherent risk and control outcomes.

Knowledge Experience and Skills

• Extensive experience in Global Markets with strong exposure to Equities and/or Global Credit & Financing.
• Proven track record in regulatory change non-financial risk or COO/change roles within a large international bank.
• Strong understanding of regulatory themes impacting trading sales electronic execution and control frameworks.
• Demonstrated ability to work across multiple asset classes functions and regions balancing global consistency with local regulatory needs.
• Excellent stakeholder management and influencing skills including engagement with senior business COO NFR Compliance and Risk leaders.
• Strong analytical and planning skills with ability to manage complex multi-regulation implementation plans.
• Clear and concise written and verbal communication skills for senior and cross-functional audiences.

Risk Control and Conduct Responsibilities

• Place fair customer outcomes market integrity and financial stability at the centre of regulatory change decisions.
• Operate in line with HSBCs Three Lines of Defence model supporting first line ownership of regulatory and non-financial risks in Equities and GCF.
• Ensure timely identification escalation and remediation of issues incidents and control weaknesses arising from or impacted by regulatory change.
• Embed HSBC Conduct principles throughout regulatory change design and implementation including focus on legal tax unauthorised trading reputational financial crime and ESG risks.

Being open to different points of view is important for our business and the communities we serve. At HSBC were dedicated to creating diverse and inclusive workplaces - no matter their gender ethnicity disability religion sexual orientation or age. We are committed to removing barriers and ensuring careers at HSBC are inclusive and accessible for everyone to be at their best. We take pride in being a Disability Confident Leader and will offer an interview to people with disabilities long term conditions or neurodivergent candidates who meet the minimum criteria for the role.

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