Associate Director, Surveillance - Regulatory Compliance

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 26 Apr 17

Associate Director, Surveillance - Regulatory Compliance

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

As part of Global Risk, Regulatory Compliance ensures adherence to applicable regulations and standards by setting the policies which cover HSBC's regulatory requirements, and mitigate conduct and reputational risk issues. The team strives to remain ahead of the regulatory change agenda and ensures the business understands the implications and is prepared for change. It monitors how the Global Businesses and Functions manage their responsibilities with regard to complying with the regulations and helps resolve compliance deficiencies.

We are currently seeking a high caliber professional to join our team as Associate Director, Surveillance.

Principal responsibilities

  • Global Regulators have an increasing expectation that firms have adequate systems and controls to conduct surveillance against, among other risks, unauthorized trading and market abuse.
  • This role requires the incumbent to conduct independent surveillance investigatory work to obtain reasonable assurance that HSBC's Global Markets business is operating within risk appetite with respect to inappropriate trading by monitoring and challenging the risk and control activities conducted by the business. Unauthorised Trading Risk is defined as the manipulation of a Risk and or Profit and Lost profile through exploitations to the risk and control environment.
  • The incumbent will join a high profile team that is held in high regard externally and internally.

  • Solid experience in a Global Markets, Risk or Control orientated role is preferred.
  • Knowledge of product and passion for financial markets.
  • Excellent understanding of trade lifecycle and Risk is essential.
  • Strong analytical skills.
  • Exposure to big data and databases a plus.
  • Exposure to Primary Trading Systems and business processes across products in HSBC desirable.
  • Evidence of collaboration with key stakeholder functions.
  • Evidence of engagement in project management change initiatives.
  • Evidence of experience in Information Technology development and data modeling beneficial.
  • Strong communication and negotiating skills.
  • Ability to develop effective working relationships with stakeholders of different seniority and across geographical locations.
  • Ability to drive forward initiatives and be assertive and adopt behavior to various stakeholders and team members.
The chosen candidate for this role will be required to undergo enhanced vetting. Subject to local laws, this will require the individual to satisfactorily pass a series of additional checks as part of the recruitment process and on an ongoing basis, if appointed to the role. HSBC Group reserves its position with regard to any steps which it may take in relation to any material adverse findings which arise either when the checks are originally completed, and/or if relevant, on an ongoing basis. For more information about the enhanced vetting for this role please contact the recruiter for this role.

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