The Communications and Trade Surveillance manager will support with oversight of Trade & Communications Surveillance activities across the region. The role will work as a connector, ensuring feedback from surveillance alert disposition teams, regional technical officers (or other conduits) and Product teams are appropriately captured and actioned by the central surveillance capability teams. They will also need to ensure that the appropriate Regional Leads and Floor Surveillance Officers are fully aware of all related technology issues, fixes and System upgrades/updates to their Surveillance programme. They will also assist with the work from the MARA output yearly refresh.
The role will report directly to the Regional Surveillance Lead and also work closely with the Global Trade and Communications Surveillance Lead and the Trade and Electronic Communications Lead.
The Regulatory Compliance function is a Second line of defence (LOD) function responsible for managing regulatory compliance risks. The Regulatory Compliance function operates in accordance with HSBC Group's Risk Management Framework (RMF).
The purpose of Surveillance is to safeguard customers and the integrity of financial markets by detecting and deterring market abuse, inappropriate trading and other market conduct risks. In doing so, Surveillance serves to meet HSBC's regulatory obligations, wider stakeholder expectations, risk appetite policy requirements.
Principal Responsibilities - Assist with the review of global coverage requirements from a MARA perspective to ensure consistency of approach and outcomes.
- Provide input into the on-going monitoring of changing regulations, enforcement actions conducting read-across exercises as required
- Working closely with both the Regional Leads and Global Trade and Ecom leads
- Work with the Surveillance Data Management Framework Team to ensure that production issues are robustly analysed, reported and actioned.
- Ensure that user feedback is collated at the global level from the regional technical officers and FSO's
- Assist with the physical demise of systems along with check and challenge in place to Product Owners, who are responsible for the physical demise of the systems.
- Assist with the provision of trade and Ecom surveillance materials for regulatory and internal examinations.
- Provide input into the Ongoing review of e-comms coverage requirements from a regional perspective
- Provide input into the review of custodian coverage areas and how these interlock with the relevant risk/policy taxonomy and regional
To succeed, you will need - Experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance
- Strong analytical and problem-solving skills, with the ability to assess complex issues and implement practical solutions.
- A proactive and detail-oriented mindset, ensuring that surveillance processes and controls remain robust and effective.
- Remains up to date on latest industry developments (e.g. technology, regulatory); enables teams to incorporate improvements to drive towards operational excellence.
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Issued by The Hongkong and Shanghai Banking Corporation Limited.
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