Senior Surveillance Manager - Compliance Senior Surveillance Manager - Compliance …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Senior Surveillance Manager - Compliance
Some careers grow faster than others.

If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.

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 caliber professional to join our team as Senior Surveillance Manager.

Principal responsibilities

  • The jobholder is responsible for managing and mitigating operational risks in their day to day operations.
  • The jobholder has responsibility for overseeing and ensuring that Operational risks are managed in accordance with the Group Standards Manual, Risk Mitigation, relevant guidelines and standard adherence.
  • Provide oversight and support over transaction and surveillance framework, including the design, implement and maintaining java application phases.
  • Continuously reassessing risks associated with the role and inherent in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology.
  • Ensuring all actions take account of the likelihood of operational risk occurring, addressing areas of concern in conjunction with Risk and relevant line colleagues, and also by ensuring that actions resulting from points raised by internal or external audits, and external regulators, are correctly implemented in a timely fashion.
  • Monitor regulatory change developments and potential impact of regulatory change on the Global Market Business in Hong Kong in terms of surveillance.
  • Perform and support conduct risk assessments.
  • Assist in providing training to create compliance awareness including on thematic issues.
  • Reviews and assist in carrying out the effective deployment of the Financial Crime Threat Mitigation Monitoring Plan for Global Markets.
  • Ensure the appropriate timely and relevant risk information is provided to Global Markets management, in country management and Regulatory Compliance management in Hong Kong and region.
  • Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal and external auditors and external regulators.
  • Maintain awareness of operational risk and minimize the likelihood of it occurring including its identification, assessment, mitigation and control, loss identification and reporting.



  • Seasoned professional with proven years of experience in Regulatory Compliance.
  • Have good working knowledge of Trade and Communication Surveillance as well as regulations such as Banking Act, Securities and Futures Act
  • Must be analytical and have a good eye for detail.
  • Have excellent interpersonal and negotiation skills.
  • Possess strong communication skills both verbal and written.
  • Able to work under pressure and tight deadlines.
  • Able to work both as a team player as well as independently

You'll achieve more when you join HSBC.

HSBC is 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. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.