Rickey Chan
About Rickey Chan
Rickey Chan serves as the Senior Vice President and US Head of GFX & Sales Compliance at HSBC, a position he has held since 2018. He previously worked at FINRA and J.P. Morgan, accumulating extensive experience in financial compliance over two decades.
Work at HSBC
Rickey Chan serves as the Senior Vice President and US Head of GFX & Sales Compliance at HSBC. He has held this position since 2018, contributing to the firm's compliance strategies and oversight in the Global Foreign Exchange (GFX) and sales sectors. His role involves ensuring adherence to regulatory requirements and internal policies, which is critical for maintaining the integrity of the bank's operations in New York.
Previous Experience at J.P. Morgan
Before joining HSBC, Rickey Chan worked at J.P. Morgan for 14 years, from 2004 to 2018. He held the position of Vice President in Fixed Income Sales and Trading Compliance. In this role, he was responsible for overseeing compliance matters related to fixed income trading activities, ensuring that the firm met regulatory standards and internal compliance protocols.
Experience at FINRA
Rickey Chan began his career at the Financial Industry Regulatory Authority (FINRA), where he worked as a Lead Examiner in Member Regulation from 2000 to 2004. During his four years at FINRA in New York, he focused on regulatory examinations and compliance assessments for member firms, gaining valuable insights into the financial industry's regulatory landscape.
Education and Expertise
Rickey Chan studied at St. John's University, specifically at The Peter J. Tobin College of Business. His educational background has equipped him with the knowledge and skills necessary for a successful career in compliance within the financial services sector.