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06/08 Shaishav Bhatnagar

Views:2659 Applications:117 Rec. Actions:Recruiter Actions:1

HSBC - Regulatory Compliance Role - Global Surveillance Operations (8-10 yrs)

Bangalore Job Code: 728969

- 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

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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