Description

The Regional Surveillance Oversight Lead is responsible for overseeing regional BAU surveillance activities, which include regional governance and MI, regulatory and auditor engagement, ensuring they are following defined protocols and procedures as well as developing the Enhanced Surveillance Programme. The role reports to the Regional Head of Surveillance. The development of the Enhanced Surveillance Programme will require close collaboration with surveillance colleagues across other regions and the GSC teams. This role will be responsible for reporting and tracking all aging items, liaise with GSC teams in defining paths to green, have oversight of any regional issues, e.g., QA and training and escalation of any concerns.

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

• Support the Regional Head of Surveillance on a day-to-day basis providing ad hoc support and resolution of non-BAU issues at Regional Head direction.
• Ensure any items that require escalation are escalated timely.
• Ensure all regional BAU activities follow the defined process.
• Key contributor to local co-ordination of GRA, Compliance Assurance and regulatory reviews.
• Assist in the design of a single global Enhanced Surveillance Framework and ensure all items are tracked and reported in line with this including documenting the FTE ask for each request.
• Ensure any items in the monthly aging report are correct and documented correctly with clear and precise paths to green.

To succeed, you will need

• Extensive experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance.
• Experience in designing and delivering ad-hoc Surveillance tasks.
• Understanding of the surveillance alert disposition life cycle
• 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.
• Core skills like governance, data reporting, collaboration, stakeholder management, problem solving and analytical thinking are required

Opening up a world of opportunity
http://www.hsbc.com/careers

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.

Issued by The Hongkong and Shanghai Banking Corporation Limited.

https://www.youtube.com/embed/QmZ7Un5gR8c?si=LCa6slfBqlUlxUE-