Assistant Vice President – Regulatory Compliance- Surveillance

Job Description

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 organisations 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 realise their ambitions.

We are currently seeking an experienced professional to join our team in the role of Assistant Vice President - Regulatory Compliance- Surveillance

• In liaison with the business/asset class stakeholders:
• Prioritize the development of the systems, processes, people and data sets needed to (better) identify new forms of misconduct for their business/asset class.
• Input into and track the development of new surveillance capabilities.
• Facilitation of regional and local control mapping exercise to understand unique risk at site level.
• The Surveillance transformation Project Manager / Business Analyst will be supporting the ASP regional roll-out of Surveillance capabilities. This includes communications surveillance and trade surveillance.
• The role-holder will be/ support the regional Product Manager for Trade or Communications Surveillance in any related initiatives.
• The incumbent will work throughout the project lifecycle (from conception to implementation), across the three pillars of people, process and technology. They will work in partnership with global GBM stakeholders across front office, surveillance and compliance, technology teams and other functions.
• The role-holder will work on initiatives for multiple lines of business, including MSS, GB and CMB.Documenting problem statements, use cases and business requirements and managing the changes through the full project or change management lifecycle.
• Maintaining the book of work including collating requests, estimating effort and prioritising with stakeholders.
• Support setting up Management Information framework, which enables timely escalation and stakeholders to take actions where necessary.
• Assisting team members with the implementation and roll-out of a new surveillance tools and models.
• Supporting User Acceptance Testing (UAT) of new automated surveillance tools. Providing detailed analysis and test scripts.

• Project management / business analysis skills, preferably within a finance industry organisation, ideally within a Compliance function.
• Knowledge of the current state of surveillance technology would be a distinct advantage.
• Experience of managing projects delivering technology and business change, in a complex matrix organisation.
• Educated to degree level. Strong report writing skills.
• Ability to handle escalated issues and take these forward with Senior Management.
• Communications and/or Trade surveillance execution experience and expertise would be an advantage.
• An appreciation of local regulation particularly in relation to the rules relevant to trading and sales activities would be an advantage.
• Knowledge of local market abuse regulation and overseas regulations would be an advantage.
• Sound knowledge of Global Banking and Markets desirable.
• Knowledge of anti-money laundering and market risks relevant to private banking and wealth management would be an advantage,
• Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
• Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management.
• Ambition to enhance compliance knowledge and skill set in a rapidly changing and dynamic markets environment.

You'll achieve more when you join HSBC.

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