Trade Surveillance Expert

6 days ago

Quezon City, National Capital Region, Philippines HSBC Full time
Job Description:

The Surveillance COE team supports compliance officers across the businesses in carrying out key compliance monitoring, advisory and support activities. The team (Trade Surveillance, Audio Surveillance, E- Communications Surveillance) supports onshore Compliance offices and the various businesses globally.

Risk and Compliance is responsible for providing a wide compliance service in a variety of areas including advisory, compliance monitoring (market abuse, suitability, best execution, etc.), staff dealing approvals, research advice and clearance, compliance training, registration of approved persons, money laundering deterrence and the management of conflicts of interest.

The Opportunity:

The Offshore Regulatory Compliance team supports compliance officers across the businesses in carrying out key compliance monitoring, advisory and support activities. The team (Trade Surveillance, Audio surveillance & E- Communications Surveillance) will support onshore Compliance offices and the various businesses globally. The purpose is to undertake surveillance in a timely manner thus ensuring compliance with applicable regulations and policies. The role will add additional structure and governance to this already controlled framework. The incumbent will be required to act as a point of central coordination globally, having oversight for time-critical and sensitive issues. Overall, the incumbent will provide guidance, supervision, and accountability for the day-to-day offshore activities.

The incumbent will be given a degree of autonomy and will be expected to draw conclusions from their or their team's analysis and make appropriate recommendations to the Compliance Senior Management and the business in order to rectify issues identified. The incumbent will be required to keep abreast of industry and regulatory changes.

Responsibilities:

  • Ensure continuous and effective service to onshore compliance teams who are business partners for the function.
  • Provide supervisory oversight to the offshore Surveillance team.
  • Provide day-to-day guidance and training; assist team in resolving process-related issues.
  • Review the work done by the offshore Surveillance team and provide appropriate developmental feedback.
  • Lead and provide guidance on the implementation of new monitoring areas, such as ST, Reuters, social media monitoring.
  • Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management onshore.
  • Improve overall efficiency of the process and individual performance within the team.
  • Provide input/timely production of high-quality Management Information (MI).
  • Proactively identify FTE requirements and inform Business Partners. Effectively handle recruitment needs.
  • Deliver a high-performance (client service, behavioral expectations).
  • Provide highly professional, competent, and skilled service to the Businesses.
  • Take decisions based on your knowledge and experience.
  • Think proactively and come up with ideas for enhancements.
  • Escalate, where necessary, to direct line management and Senior Compliance managers.

Requirements:

  • Strong interpersonal skills and experience of working effectively within a small team.
  • Knowledge of financial markets and in particular, financial market regulation.
  • Experience in Trade or E/Voice-Surveillance monitoring/oversight or related environment is preferable.
  • Knowledge of the Actimise and Redkite surveillance tool is preferable.
  • Ability to understand trade and electronic/voice communications and analyze these for the detection of potential Market Abuse.
  • Ability to work under pressure and within tight timelines. Excellent time management and prioritization of work tasks.
  • Ability to handle escalated issues and take these forward with Senior Management.

Desirable Qualifications:

  • Knowledge of E-Surveillance, Trade Surveillance, and Audio Surveillance monitoring tools.
  • Ability to clearly articulate business and regulatory implications of analysis and findings.
  • Knowledge of financial markets and in particular, financial market regulation.

Bonus Points:

  • Any compliance certification.
  • Knowledge of regulatory norms around capital market.
  • Any experience in audit-related works.
  • Project management experience with time-sensitive delivery.
  • To act with high levels of integrity, conduct, and performance against ethical standards.
  • Keep Senior Management abreast of regulatory changes in an efficient and timely manner.

We are 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.

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