Assistant Manager- Surveillance

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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.

HSBC is one of the largest banking and financial services organisations in the world, with operations in 62 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.

Assistant Manager Surveillance

Principal responsibilities

• Sample, review, investigate and escalate alerts generated by the Surveillance system for FX & FI. 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.
• Perform error analysis and share in-depth report with leadership.
• Production of accurate and Management Information (MI).
• Foster a close relationship with the various teams, both on and offshore.
• Maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

• Strong interpersonal skills and experience of working effectively within a small team.
• Knowledge of financial markets and in particular, financial market regulation. Candidates with knowledge on FX/ FI will be preferred.
• Experience in Trade Surveillance, E Communication Surveillance or Audio Surveillance monitoring / oversight or related environment is preferable.
• Knowledge of the surveillance tool is preferable.
• Ability to understand trade and electronic/Voice communications and analyze these for the detection of potential Market Abuse.
• Ability to work under pressure and within tight timelines. Excellent time management and prioritization of work tasks.
• Ability to handle escalated issues and take this forward with Senior Management.
• Any compliance certification
• Knowledge of regulatory norms around capital market
• Any experience in audit related works

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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