Job Advert Details
Global regulators have an increasing expectation that firms have adequate systems and controls to undertake surveillance activities, in order to mitigate risks arising from non-adherence to internal and external regulatory/compliance framework, focusing on (but not limited to) various forms of market abuse violations such as insider dealing, market manipulation and improper handling of information.
This role requires the incumbent to work within the Compliance Surveillance Team. Surveillance owns and operates market abuse and conduct surveillance controls through automated and manual tools. Due to activities undertaken by Surveillance, MSS, WSB, WPB, Compliance, and related risk stewards have reasonable assurance in place to ensure HSBC and its staff are operating within the boundaries of relevant laws, regulations, ethical codes and HSBC Group Standards.
This is a role forming part of the expanding Compliance Surveillance team, which holds a pivotal role within the 1st LoD, requiring the incumbent to:
- Undertake pro-active and dynamic market abuse surveillance work, covering stakeholder businesses and relevant product offerings, in order to detect, escalate, and mitigate risks due to non-adherence to internal and regulatory framework,
- Detect potential market abuse and conduct breaches from within trading activity and communications, across various functions and businesses.
- Keep abreast of industry and regulatory changes and financial news, while possessing passion for and understanding of financial markets,
- Develop a strong working relationship with line of businesses and Compliance stakeholders,
Continuously seek improving surveillance systems and processes,
Carry out enhanced surveillance reviews in response to highlighted events, as well as reviews triggered by the businesses, Compliance, or proactively; escalating any material findings or incidents of misconduct on the back of thematic reviews. - Continuously seek improving surveillance systems and processes,
- Carry out enhanced surveillance reviews in response to highlighted events, as well as reviews triggered by the businesses, Compliance, or proactively; escalating any material findings or incidents of misconduct on the back of thematic reviews.
Qualifications
- Educated to degree level (preferably BSc),
- The ability to analyse and present complex information in a clear, concise and precise written and verbal format is essential.
- Strong level of written& spoken English and Turkish.
- Strong report writing skills.
- A strong grasp of Microsoft Office products is essential, in order to prepare high quality presentation material and Management Information on occasions of short notice,
- Familiarity with related local and global regulatory framework and guidelines, particularly in relation to those relevant to financial markets trading and sales activities.
- Sound knowledge of Markets and Banking products and practices.
- Strong interpersonal skills with the ability to communicate effectively with Compliance and DBS stakeholders,as well as with Business Management.
Ability to support decisions with sound reasoning, and clearly articulate business and regulatory implications of analyses and findings.
Ambition to enhance compliance knowledge and skill set, in a rapidly changing and dynamic environment.
Communications Surveillance/Monitoring experience, or an ability to rapidly upskill is essential.
Ability to use and quickly adapt to technological resources available for surveillance activities. - Ability to support decisions with sound reasoning, and clearly articulate business and regulatory implications of analyses and findings.
- Ambition to enhance compliance knowledge and skill set, in a rapidly changing and dynamic environment.
- Communications Surveillance/Monitoring experience, or an ability to rapidly upskill is essential.
- Ability to use and quickly adapt to technological resources available for surveillance activities.