Manager, Surveillance & Investigations Team

Job description

The Manager, Surveillance & Investigations Team role is based within Surveillance & Investigations Team, Markets Regulatory Compliance.
 
The role of the Manager, Surveillance & Investigations Team requires the person to lead investigations within the Surveillance & Investigations Team, Markets Regulatory Compliance (‘MRC’). Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the Global Markets business is involved.
 
Your responsibilities will include:
Setting processes and assisting in the requirements on an increasing number of regulatory enquires and ‘deep-dives’ into Markets businesses
To escalate regulatory breaches to business and MRC Senior Management in order that appropriate action can be undertaken to rectify.
Performing ad-hoc trading reviews. Scope of report to include trends and analysis / out of the norm trading activity.
Knowledge of the Market Abuse Regime is essential.
Knowledge of various asset classes is essential.
Knowledge of Ad-hoc Regulatory Compliance work i.e. Bloomberg message retrievals, listening to dealer board telephone calls.
 

Desired profile

The ideal candidate for this role will have:
Relevant product knowledge including knowledge of Equities, Fixed Income, Currencies and Commodities, Rates, Sales, Structuring and Trading desks
Experience working in relevant environment/s, i.e. Global Banking and Markets Regulatory Compliance
Experience working in relevant market/context, i.e. EUROPE MIDDLE & NORTH AFRICA
Role relevant qualifications, i.e.
Educated to degree level (preferable).
Past working experience in a relevant role, i.e. Compliance monitoring experience and expertise is essential.
Past working experience on relevant systems, i.e. Order & Risk Management Systems, Message Archiving systems and Voice playback systems
Relevant product knowledge including sound knowledge of Markets products. is desirable but not essential
Experience working in relevant market/context, i.e. A sound understanding of the FCA Handbook particularly in relation to the rules relevant to trading and sales activities.
Indepth knowledge of FCA’s Market Abuse Directive (MAD) and overseas regulations an advantage.
The base location for this role is London.
 
At HSBC we are open to different ideas and cultures, connected to our customers, communities and each other and dependable, we do the right thing. These are the values that guide us every day. We seek to recruit people who share these values and will help us to sustain them.
 

About HSBC

HSBC est l’une des plus grandes banques internationales avec une présence dans plus de 85 pays dans le monde. Elle a été créée en 1865 sous le nom de « The Hongkong and Shanghai Banking Corporation », et son siège social est basé à Londres. En France, HSBC totalise environ 400 agences et près de 10 000 salariés, avec une spécialisation dans plusieurs activités : une banque pour les particuliers, spécialisées notamment dans la gestion de patrimoine, une banque privée (gestion de fortune), une banque d’entreprises, qui s’appuie sur le réseau de l’ensemble du groupe HSBC dans le monde, et une banque de financement, d’investissement et de marchés. En 2012, HSBC France a réalisé un résultat avant impôt de 450 millions d’euros.