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Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.
We are currently seeking a high calibre professional to join our team as Senior Surveillance Manager.
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 Change Team, prioritise 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
Dealing with the alerts once they have already been passed through a first (level one) filter by the offshore team
Ensure that all alerts are satisfactorily escalated and resolved
Provide support and guidance for our expanding off-shoring function
By looking across the alerts (ie holistically) identify improvements the way in which alerts are generated to improve the effectiveness and efficiency of the surveillance process
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
Foster a close relationship with key front office and support function stakeholders
Assist team members with the implementation and roll-out of a new surveillance tools and models
Present surveillance output at internal control and governance forums
Support the GRS team in the resolution of audit and control findings
Liaise with change management and technology and aid surveillance in delivery
Analysing and exploring multiple data types in order to identify anomalies and patterns of risk
Understanding financial products and HSBC's business processes around these
Working across various technology platforms (surveillance, analytics, trading platforms, etc.)
The ability to maintain 'grip' on multiple and competing GRS, team and personal priorities, including relevant detail, and ensure delivery through self and others is essential. Formal project management skills is preferable, but not essential
Strong, practical experience of risk management in a multi-dimensional environment (for example, industry expectations, regulatory pressures, extensive internal scrutiny, and cost-constrained environment) is essential
The ability to analyse and present complex information in a clear, concise and precise written and verbal format is essential
An ability to think strategically, with perspective, and demonstrate resilience, is critical
An ability to be robust yet diplomatic with senior or external (regulator) stakeholders, protecting the long-term objectives of GRS
Act in a pressurized, but supportive environment.Be self-motivate and 'do the right thing'
Be discreet and trusted with sensitive information
Experience with audit or remediation activities would be an advantage, but not essential
Experience in Surveillance or other control testing functions is preferable, but not essential
Markets financial expertise is preferable, but does not require subject matter expertise