AVP - RegulatoryComplianceGSO

Job Title:AVP - RegulatoryComplianceGSO

Purpose of the role  

• As part of the wider Surveillance function, the Wealth and Personal Banking (WPB) Surveillance team is responsible for the detection, escalation and reporting of potential market abuse and misconduct within Global Asset Management, Retail and Wealth and Global Private Bank. We are currently seeking a motivated individual to join our team of surveillance analysts, and contribute towards achieving the strategic goals of the WPB Surveillance team in Asia Pacific and those of the wider Surveillance function

In this role, you will:

• Perform trade surveillance on order flow from both retail and private banking customers and asset management fund and portfolio managers across an array of asset classes including equities, fixed income and derivatives for potential market abuse and escalate them where appropriate
• Review e-communications surveillance alerts for potential market abuse and misconduct and escalate them where appropriate
• Contribute to continuously enhancing our investigatory capabilities by identifying new internal and external data sources, systems capabilities and investigative techniques
• Contribute to the ongoing testing and calibration of surveillance systems and controls to ensure market abuse risks are being identified against a continuously evolving risk and regulatory landscape
• Draft and submit compelling regulatory filings based on evidence gathered through in-depth, intelligence-led surveillance investigations
• Co-ordinate with colleagues across the wider Surveillance function, ensuring consistency where appropriate and promoting best practices
• Forge strong working relationships with stakeholders from the businesses we protect and enable as well as colleagues in Compliance, Risk and the Control Offices, acting as an ambassador for Surveillance, showcasing successful outcomes where appropriate
• Support ongoing strategic endeavours such as the roll out of next generation trade surveillance capabilities across business lines and regions
• Engage effectively with Surveillance colleagues in regional, business line, data management, IT, transformation, product management, and Centre of Excellence teams
• Contribute to general governance and administrative responsibilities of WPB Surveillance team such as issues management, training and the production of MI (management information) and reporting Qualifications

To be successful you will:

• Possession of an inquisitive and investigative mind-set and a willingness to learn and develop is key to success in this role
• Ability to analyse and present complex information in a clear, concise and precise written and verbal format is essential
• Strong interpersonal and stakeholder engagement skills are essential
• The successful candidate must be both self-motivated and comfortable at working collaboratively within a relatively small team
• A strong understanding of financial markets and regulation with focus on equities, fixed income and derivatives.
• Experience of working in a dealing/trading environment is preferable but not essential
• Experience of working in a surveillance monitoring or investigative function is preferable
• Experience of working internationally is preferable but not essential
• Knowledge of surveillance tools such as TradingHub, BTCA and Digital Reasoning is preferable but not essential
• Additional language ability will be an advantage
• Ability to clearly articulate business and regulatory implications of analysis and findings
• Ability to act proactively and multitask
• Any compliance certification
• Knowledge of regulatory norms around capital market

Hsbc.Com/Careers

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."

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