Job Description

Coronavirus (2019-nCoV), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at the HSBC Group. As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey. If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have. Some careers shine brighter than others. If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. 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. HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 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. We are currently seeking an experienced professional to join our team in the role of Manager - Trade Surveillance Why Join us: The Offshore Regulatory Compliance team supports compliance officers across the businesses in carrying out key compliance monitoring, advisory and support activities. The team (Trade Surveillance, Unauthorized Trading, Audio surveillance, E- Communications Surveillance, Enhanced Surveillance &Best Execution Surveillance) will support onshore Compliance offices and the various businesses Globally. The Opportunity: Surveillance roles are responsible for the identification and management of undesired risk activities including conduct risk and financial crime risk. They are responsible for integrating prescribed and required forms of surveillance in the business, complimentary to existing process/systems. What you will do:

• Identify potential new forms of staff or counterparty misconduct.
• Determine whether these could be identified through the surveillance team’s current systems, processes, people and the data sets surveilled.
• In liaison with the Product Management and Transformation Team, prioritize the development of the systems, processes, people and data sets needed to (better) identify these new forms of misconduct for their business/asset class.
• Input into and track the development of these new surveillance capabilities.
• Deal with the alerts once they have already been passed through a first (level one) review.
• Ensure that all alerts are satisfactorily escalated and resolved.
• Carry out in investigations requested by Regulators, senior management and the businesses/asset classes into certain practices, businesses, individuals and events. Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations.
• Coordinate or produce regular MI reports to key internal stakeholders including analysis of the MI.
• Liaise with Transformation and Technology and aid Surveillance in delivery.

Requirements
What you will need to succeed in the role

• A strong understanding of the rules relevant to trading and sales activities for Equities, Options, Money Market, Foreign Exchange and Fixed Income.
• Expert knowledge of financial markets and traded products.
• Demonstrable experience (3 or more years) working in a Surveillance role. Consideration will also be given to those with Compliance Advisory or Front-office experience.
• Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
• Strong analytical skills. Experience in Visual Basic for Applications and macros is an asset.
• Evidence of collaboration with key stakeholder functions as well as providing credible challenge to the business/desk supervisors in their daily risk management.
• Well-developed communications, analytical, organizational, and project management skills.
• Proficiency in French or Simplified Chinese or Traditional Chinese.

What additional skills will be good to have?

• Any compliance certification
• Knowledge of regulatory norms around capital market
• Any experience in audit related works

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 (India) Private LTD***