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L2 Surveillance

3 months ago

Bengaluru, Karnataka, India HSBC Full time

  • Job description

Some careers have more impact than others.


If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be.


HSBC is one of the largest banking and financial services organizations in the world, with operations in 62 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 realize their ambitions.

We are currently seeking an experienced professional to join our team in the role
AVP - L2 Surveillanc
e

Principal responsibilities:

  • Manage time critical and sensitive Financial Crime Surveillance issues arising from escalated surveillance cases.
  • Identify and investigate into potential regulatory & internal misconduct risks amongst the employees and associated functions.
  • Operate and standardize surveillance tactical controls in line with the regional standards.
  • Draw conclusions from own or team analysis, advising and making appropriate recommendations to Surveillance Senior Management in order to rectify issues identified.
  • Partner with regional SMEs to understand new and revised regulatory requirements, codes of practice and thorough understanding of applicable products, ensuring surveillance is correctly positioned to satisfy regulatory requirements on market abuse and misconduct.
  • Work closely with Regional Surveillance leads to strengthen the Surveillance footprint in Sub-Hubs.
  • Provide accurate, timely and meaningful MIs to the governance leads.
  • Support the development of surveillance controls to identify misconduct and market abuse, including in the testing of next generation electronic communications systems.
  • Further, assist the Surveillance Lead in implementing the Target Operating Model in the India Sub-Hub.
Requirements

  • Experience in a Surveillance or Compliance role is preferable, but not necessarily essential
  • Knowledge of Financial markets and in particular, financial market regulations and capital market products.
  • A fair understanding of Market Abuse scenarios and ability to understand communications & trades for the detection of Market Abuse.
  • Sound and proven judgment to manage (distribute difficult messages) surveillance issues.
  • The ability to maintain 'grip' and attention to detail on multiple and competing priorities, and ensure delivery through self and through or with others
  • Ability to clearly articulate business and regulatory implications of analysis and findings
  • Ability to act in a pressurized, but supportive environment, is critical.
  • Any compliance certification
  • Knowledge of regulatory norms around capital market
  • Any experience in audit related work.
  • Experience in trading or dealing in capital markets.

You'll achieve more at HSBC
**Issued By HSBC Electronic Data Processing (India) Private LTD