Assistant Manager- Surveillance

Job description

Job description

Some careers open more doors than others.  

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.

The specific role is to safeguard customers and the integrity of financial markets by detecting and deterring market abuse, inappropriate trading and other market conduct risks. In doing so, it will serve to meet HSBC's regulatory obligations, wider stakeholder expectations, risk appetite and policy requirements.

Responsibilities : 

·  Review, investigate and escalate 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 onshore 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.

Requirements

·  Minimum Graduation or as required for the role, whichever is higher
·  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 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.
·  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).
·  An ability to create supportive environment even while dealing with high pressure situation.
·   An ability to self-motivate, ‘speak up’ and ‘do the right thing’.
·  Any compliance certification
·  Knowledge of regulatory norms around capital market
·  Any experience in audit related works

Useful Link

Link to Careers Site: Click   HERE  

You’ll achieve more at HSBC.

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.

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 The Hongkong and Shanghai Banking Corporation Limited, India

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