Manager Surveillance
Hang Seng
Central, Hong Kong Island, Hong Kong, Asia Pacific


The health and safety of our employees and candidates is very important to us. Due to the current situation related to the Novel Coronavirus (2019-nCoV), we’re leveraging our digital capabilities to ensure we can continue to recruit top talent at HSBC.

As your application progresses, you may be asked to use one of our digital tools to help you through your recruitment journey.

If so, one of our Resourcing colleagues will explain how our video-interviewing technology will be used throughout the recruitment process and will be on hand to answer any questions you might have.

Some careers grow faster than others.

If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.

Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly.

Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates.

We are currently seeking a high calibre professional to join our team as Manager Surveillance.

Principal responsibilities

  • Deal with the alertsonce they have already been passed through a first (level one) filter by theoffshore team.
  • Identify and investigate intopotential regulatory & internal misconduct risks amongst the employees andassociated functions.
  • Ensure that all alerts aresatisfactorily escalated and resolved.
  • Provide support andguidance for our expanding off-shoring function.
  • Undertake timely and accurateresolution of requests by Regulators, senior management and thebusinesses / asset classes into certain practices, businesses, individuals andevents.
  • Escalate, as appropriate, anymaterial findings or incidents of misconduct highlighted by these reviews.

  • Support the development of electroniccommunications surveillance controls to identify misconduct and market abuse.
  • Actively identify risk gaps new tradeand electronic communication surveillance controls to identify misconduct andmarket abuse, including in the testing of next generation trade and electroniccommunications systems.
  • Review, investigate and escalatealerts generated by the Surveillance system, which is designed to identifybreaches of internal policies surrounding Information Boundaries or individualbehaviour that may signify potential risk to company and / or its clients’, inparticular that of Unauthorised trading risks.
  • Assist team memberswith the implementation and roll-out of new surveillance tools and models.
  • Partner with regulatory change andother regulatory SMEs to understand new and revised regulatory requirements,codes of practice and others, ensuring surveillance is correctly positioned tosatisfy regulatory requirements and changes and that any impact is disseminatedto the appropriate Businesses.
  • Production of accurate and in-depthManagement Information.
  • On occasion, delegate for Surveillancemanagement at internal control and governance forums.
  • Support management in the resolutionof audit and control findings.
  • Produce and present regular MI reportsto key internal stakeholders including analysis of the MI.
  • Foster a closerelationship with key front office and other functional stakeholders.
  • Requirements

  • An understanding of Global Markets and private side business and understanding of information control barrier risks.
  • Strong knowledge of financialproducts, such as Equities, Fixed income and / or Foreign exchanges.
  • In particular, strong knowledge of OTCderivatives (FX, Options, Fixed income & Structured derivatives, Interestrate swaps, Equity Derivatives, Credit Derivatives etc.
  • would be highlypreferred.

  • Communications (including eComm andaudio) Surveillance experience, or an ability to rapidly upskill is essential.
  • Ability to understand trade andUnaurthorised Trade Surveillance and analyse these for the detection ofpotential Market Abuse & Unauthorised Trading.
  • Experience in Global Marketssurveillance, particularly trade related is preferable, but not essential.
  • Experience in private side’surveillance, particularly in Global Banking, Commercial Banking and HSS ispreferable, but not essential.
  • The ability to analyse and presentcomplex information in a clear, concise and precise written and verbal formatis essential.
  • A working understanding of the marketabuse aspects of SFC, HKMA rules and regulations as well as other relevantglobal regulation (MAR, MiFID)
  • An ability to think strategically,with perspective, and demonstrate resilience.
  • An ability to inspire confidence andenthusiasm in Surveillance deliverables in both staff and stakeholders. To act in a pressurized,but supportive environment.
  • To self-motivate and dothe right thing’.

  • To maintain grip’ andattention to detail on multiple and competing Surveillance team and personalpriorities, and ensure delivery through self and through or with others.
  • Strong, practical experience of riskmanagement in a multi-dimensional environment (for example, industryexpectations, regulatory pressures, extensive internal scrutiny).
  • A team player that can Contribute to team development, effectiveness and success by sharingknowledge and good practice, working collaboratively with others to create aproductive, diverse and supportive working environment.
  • Candidates with more experience can beconsidered as Senior Surveillance Manager.
  • To be considered for this role, the relevant rights to work in Hong Kong is required.
  • You'll achieve more when you join HSBC 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.

    To be considered for this role, the relevant rights to work in Hong Kong is required.Issued by The Hongkong and Shanghai Banking Corporation Limited.


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