HSBC - Regulatory Compliance Role - Global Surveillance Operations (8-10 yrs)
- Oversight for time critical and sensitive regulatory compliance issues arising from day-to-day 1st level monitoring and surveillance activity
- Draw conclusions from own or team analysis, advising and making appropriate recommendations to the Compliance Senior Management and GB&M / GBL's / RC Operations in order to rectify issues identified.
- Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management.
- Work closely with Global Head of CSA, IT and Regional RC leads to implement Market Abuse Regulation (MAR) project across the Globe.
- Ensure correct GSC support to roll out the MAR project e.g. provide procedural expertise to the new regions where Surveillance monitoring is implemented for the first time.
Knowledge & Experience / Qualifications:
Business Skills :
- Experience in Monitoring & Surveillance or related environment is preferable.
- Ability to understand and articulate Trades & communications and analyze these for the detection of potential Market Abuse.
- A good knowledge of Excel and Access with the ability to use macros to help solve non-standard problems.
- Seasoned problem solving capabilities
- Sound and proven judgment to manage (distribute difficult messages) surveillance issues
Can be considered as advantages:
- Knowledge of Financial markets and in particular, financial market regulation
- Knowledge of E-Surveillance & Trade Surveillance monitoring tools.
- Supervisory Skills :
- Ability to clearly articulate business and regulatory implications of analysis and findings
- Ability to act proactively and multitask
Personal Skills :
- Graduate level candidate with experience in an internal audit or compliance environment preferable (but not essential).
- An interest, and knowledge, of financial markets, various asset classes and regulation is required.
- Ability to work under pressure and within tight time-lines. Excellent time management and prioritization of work tasks.
- Excellent system skills as the role includes a requirement to undertake complex behavior analysis derived from various data sources.
- Ability to support decisions with sound reasoning and clearly articulate business and regulatory implications of the analysis and findings.
- Desire to pass on skills for the good of the team and learn from other team members.
- Ability to handle escalated issues and take these forward with Senior Management
- Self-motivated, enthusiastic and proven rapid learning capability.
- Committed to completion of work tasks.
- Utilizes own initiative to resolve issues.
- Exemplary interpersonal and Communication skills
- Ability to lead and be part of team
- Time management skills are essential
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