HSBC Group

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If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

Risk and Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and ensures fair outcomes for clients. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates. 

India Surveillance team is currently seeking an experienced individual to join the team in the role of VICE PRESIDENT - COMPLIANCE SURVEILLANCE. This role will be responsible for supporting India Compliance for conducting surveillance viz Transactional Surveillance; E-communication Surveillance and Audio Surveillance over monitored employees of all applicable lines of businesses in HSBC to identify incidences of market abuse or misconduct. This role requires detailed knowledge forex and fixed income markets & activities and surveillance methods (including bespoke surveillance systems). This role will bring financial efficiencies through significantly reducing HSBC's exposure to regulatory censure and financial penalties.

Role Specification :

• Perform (review and analyze) trade surveillance on alerts generated via automated trade surveillance systems from across an array of asset classes including forex & fixed income for potential market abuse and escalate them where appropriate. Conduct Manual/Tactical Surveillance Controls as per the applicable Surveillance Procedures.  

• Contribute to continuously enhancing our investigatory capabilities by identifying new internal and external data sources, systems capabilities and investigative techniques
• Support ongoing strategic endeavours such as the roll out of next generation trade surveillance capabilities across business lines and asset classes
• Forge strong working relationships with stakeholders from the businesses we protect and enable as well as colleagues in Compliance, Risk and the Control Offices, acting as an ambassador for Surveillance, showcasing successful outcomes where appropriate
• Strive to be the SME for Trade Surveillance function. Co-ordinate with colleagues across the wider Surveillance function, ensuring consistency where appropriate and promoting best practices.

Required Skillset & Capabilities for this role : 

• A strong understanding of financial markets specifically Forex/ Fixed income and experiences of working in banking / financial industry.  
• Understanding of market abuse risks and information control barrier risks. 
• Experience of working in a dealing/trading environment is preferable but not essential
• Experience of working in a surveillance monitoring or investigative function is preferable
• Knowledge of surveillance tools such as TradingHub, BTCA and Digital Reasoning is preferable but not essential
• A working understanding of the market abuse aspects of RBI, SEBI, SFC, HKMA rules and regulations as well as other relevant global and regional regulation (MAR, MiFID) 
• Possession of an inquisitive and investigative mind-set and a willingness to learn and develop is key to success in this role
• A team player that can contribute to team development, effectiveness and success by sharing knowledge and good practice, working collaboratively with others to create a productive, diverse and supportive working environment.

Minimum Graduation and Minimum 5 years of experience in preferably in surveillance or forex/bond market operations or trading desk 

HSBC is 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.

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Issued by The Hongkong and Shanghai Banking Corporation Limited, India