Job Advert Details
Business: E-communications Surveillance
Open Positions: 1
Role Title: Assistant Manager - E-communications Surveillance
Global Career Band: 7
Location: Quezon City, Philippines
Recruiter Name: Veronica Suarez
Why join us?
Surveillance Centre of Excellence Manila supports compliance officers across the Global Banking and Markets (GB&M) businesses in carrying out key compliance monitoring, advisory and support activities. The team (Trade, E-Communication, & Voice 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.
The Opportunity:
The specific role is to safeguard customers and the integrity of financial markets by detecting and deterring market abuse, inappropriate trading, market conduct risks, and breach of personal and business conduct. In doing so, it will serve to meet HSBC's regulatory obligations, wider stakeholder expectations, risk appetite and policy requirements.
What you’ll do:
- Review, investigate and escalate alerts generated by the Global Market Audio/E-Communications Surveillance system. This system is designed to identify breaches of internal policies or individual behaviour that may signify potential risk to company and / or its clients’, in particular, that of Market Abuse risks.
- Perform daily monitoring tests that ensure that the risks within the monitoring plan are mitigated.
- Escalate instances of irregularities to regional hubs.
- Produce reports providing management information for Senior Management.
- Assist in the on-going development of the system to improve the efficiency of monitoring within the business.
- Assist with user acceptance testing (UAT) of newly developed monitoring tests.
- Assist in the initial set up and drafting of procedures manuals.
- Foster a close relationship with the various Compliance teams.
- Maintain company internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.
- Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which you are involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.
- Be aware of the Operational Risk scenarios associated with the role and act in a manner that takes account of operational risk considerations.
- Discharge the Compliance Officer accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk; monitoring, reporting and certification; fostering a compliance culture and optimizing relations with Regulators.
信息
What you will need to succeed in the role:
- Experience in either trade, electronic/voice surveillance monitoring / oversight or related environment is preferable
- Excellent analytical skills are key to the position as the role includes a requirement to undertake complex behavioral analysis
- Knowledge of financial markets (including various asset classes) specifically, financial market regulation.
- Ability to understand either trade, electronic/voice communications and analyze these for the detection of potential Market Abuse
- Knowledge of the surveillance systems tool is preferable
- Strong interpersonal skills and experience of working effectively within a small team
- Ability to work under pressure and within tight timelines
- Excellent time management and prioritization of work tasks
- Ability to handle escalated issues and take these forward with senior management.
What additional skills will be good to have?
- Any compliance, surveillance or process improvement related certification is ideal
- Advance excel skills to assist with reports-generation and process streamlining
- Interest to build a career in Global Surveillance Operations
- High standard of integrity and fairness in the conduct of duties and responsibilities
- Possess strong decision-making skills and sound judgement as needed in the review, analysis and documentation of alerts
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 Philippines***
* The information contained in this job description is a true and accurate reflection of the job as specified.
Want To Apply?
All applicants must have successfully completed their probation period
All applicants must have a minimum performance rating of Good and behavior rating of Good in the last two appraisals
All applicants should have served at least 18 months in their current functional role and department company
Application form should be copied to respective Line Manager
Application form should be submitted ONLINE along with the current CV
All the completed applications should be submitted ONLINE by 11:59 PM on the closing date
Have not been previously declined for the same post within the last 3 months on the date of submission of their application
Have not been on ANY form of Corrective Action within the last 6 months from the date of application
Declaring incorrect information in your application (e.g. incorrect performance and behaviour rating; and corrective action status) is considered a SERIOUS OFFENSE based on the HDPP Employee Handbook:
A. Very Serious Offense
"Sec 1. Any acts of dishonesty, which may provide reasonable grounds for the company to lose trust and confidence to the employee, which includes but not limited to the following:
c) Giving false testimony or falsifying any document, records or information or presenting such falsified document, records or information in any study, research inquiry; padding and deliberate overcharging of expenses; tampering with time records; requesting or allowing any individual to log in/out and actually logging in/out any individual.”
招聘人员名称
Veronica Suarez
招聘人员电子邮件
veronica.benz.suarez@hsbc.com.ph