Job description
Some careers have more impact than others.
If you’re looking for a career where you can make a real impression, join 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.
We are currently seeking an experienced professional to join our team in the role of Manager, Surveillance.
What you’ll do:
- Identify potential new forms of staff or counterparty misconduct.
- Determine whether these could be identified through the surveillance team’s current systems, processes, people and the data sets surveilled.
- In liaison with the Product Management and Transformation Team, priorities the development of the systems, processes, people and data sets needed to (better) identify these new forms of misconduct for their business/asset class.
- Input into and track the development of these new surveillance capabilities.
- Deal with the alerts once they have already been passed through a first (level one) review.
- Ensure that all alerts are satisfactorily escalated and resolved.
- By looking across the alerts (ie holistically) identify improvements the way in which alerts are generated to improve the effectiveness and efficiency of the surveillance process.
- Carry out in investigations requested by Regulators, senior management and the businesses/asset classes into certain practices, businesses, individuals and events. Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations.
- Coordinate or produce regular MI reports to key internal stakeholders including analysis of the MI.
- Foster a close relationship with key front office and support function stakeholders.
- Assist team members with the implementation and roll-out of a new surveillance tools and models.
- Support the Surveillance team in the resolution of audit and control findings.
Requisitos
Requirements:
- A strong understanding of the rules relevant to trading and sales activities for Equities, Options, Money Market, Foreign Exchange and Fixed Income.
- Expert knowledge of financial markets and traded products.
- Demonstrable experience (3 or more years) working in a Surveillance role. Consideration will also be given to those with Compliance Advisory or Front-office experience.
- Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
- Strong analytical skills. Experience in Visual Basic for Applications and macros is an asset.
- Evidence of collaboration with key stakeholder functions as well as providing credible challenge to the business/desk supervisors in their daily risk management.
- Well-developed communications, analytical, organizational, and project management skills.
- Any compliance certification
- Knowledge of regulatory norms around capital market
- Any experience in audit related works
You’ll achieve more at HSBC
HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and, opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.”
***Issued By HSBC Electronic Data Processing (India) Private LTD***