HSBC Group

Open positions:1

Global Career Band: 7IC

Why join us?

The Global Banking and Markets (GB&M) Offshore Compliance team supports compliance officers across the GB&M businesses in carrying out key compliance monitoring, advisory and support activities. The team (Trade Surveillance, Unauthorised Trading & E/Voice-Communications Surveillance) will support onshore Compliance offices and the various businesses Globally. The purpose is to undertake surveillance in a timely manner thus ensuring compliance (market abuse, breach of internal policies, suitability, best execution, etc.) with applicable regulations and policies. Overall, the incumbent will provide guidance / supervision and accountability for the day-to-day offshore activities.

The Opportunity:

• Excellent system skills as the role includes a requirement to undertake complex behaviour analysis derived from various data sources.
• Provide highly professional, competent and skilled service to the Businesses.
• Take decisions based on your knowledge and experience.
• Excellent time management and prioritisation of work tasks.
• Self-motivated, enthusiastic and proven rapid learning capability.
• Need to be flexible to work in shifts.

What you’ll do:

• Review, investigate and escalate Jananese, English and Chinese alerts generated by the Surveillance system. This system is designed to identify breaches of internal policies surrounding Information Boundaries or individual behavior that may signify potential risk to company and / or its clients’, in particular that of Market Abuse risks.
• Undertaking daily, weekly and monthly monitoring tests to ensure that the risks within the Surveillance RC monitoring plan are mitigated.
• Identify improvements and assist in the on-going development of systems to improve the efficiency of monitoring.
• Assist with the User Acceptance Testing (UAT) of newly developed monitoring tests.
• Production of accurate and in-depth Management Information (MI).
• Foster a close relationship with the various teams, both on and off-shore.
• Maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

What you will need to succeed in the role:

• Strong interpersonal skills and experience of working effectively within a small team.
• Knowledge of financial markets and in particular, financial market regulation.
• Experience in Trade or E/Voice-Surveillance monitoring / oversight or related environment is preferable.
• Knowledge of the surveillance tool is preferable.
• Ability to understand trade and electronic/Voice communications and analyse these for the detection of potential Market Abuse.
• Ability to work under pressure and within tight time-lines. Excellent time management and prioritisation of work tasks.
• Ability to handle escalated issues and take these forward with Senior Management.
• Fluent Japanese speaking, listening, writing and reading.

What additional skills will be good to have?

• Actively contribute towards building a strong Compliance and financial / non financial operational risk control structure within the team.
• Ensure no repeat findings / High risk findings identified as a result of non-adherence to Compliance and Internal Control Requirements.
• Keeping up to date with general Compliance and Regulatory Compliance knowledge and gaining successful pass marks for knowledge sample assessments.

Please refer the Candidate User Guide in the below link to understand your own journey as a candidate.

https://hsbchrdirect.service-now.com/esc?id=kb_article&table=kb_knowledge&sysparm_article=KB0171483&sys_kb_id=4c793c401b7a1c509e15553a2d4bcb35

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.

Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

***Issued by HSBC Electronic Data Processing (Guangdong) Ltd. GSC China***

(* The information contained in this job description is a true and accurate reflection of the job as specified.)