The Floor Surveillance Officer FX is responsible for supporting the review and disposition of escalated FX surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing effective feedback on review and investigation quality. The role reports to Regional Head of Surveillance ASP.
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.
Responsibilities - Support the effective stewardship over all Level 2 escalations from COE analysts through to closure.
- Oversee the Level 3 alerts in conjunction with relevant RC Risk Steward, ensuring alert closure or onward escalation is in line with procedures.
- Review all relevant STOR/STR/SAR potential filings to be presented at the regional STOR/STR/SAR Clearing House for accuracy and completeness of details.
- Participate in the STOR Clearing House, presenting where necessary and/or supporting the CoE.
- Preparation of regulatory filings for final sign off by relevant SMR/Accountable Executive or delegate prior to submission.
- Mentorship of COE analysts, providing BAU training is provided 'on the job' through appropriate feedback and to identify talent and areas for development.
- Provide input into the delivery of the Surveillance Training Programme as directed by Surveillance Oversight.
- Conduct robust monthly QA of alerts in accordance with the agreed QA framework.
To succeed, you will need: - Experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance.
- Experience in disposing of alerts.
- Deep understanding of how FX markets work and platforms that are used for order and trade executions.
- 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.
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Issued by The Hongkong and Shanghai Banking Corporation Limited.
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