Senior RC Surveillance Manager

  • Competitive
  • Kuala Lumpur, Malaysia Kuala Lumpur Kuala Lumpur MY
  • Permanent, Full time
  • HSBC Bank (M) Berhad
  • 19 May 18 2018-05-19

Senior RC Surveillance Manager

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.

Global Risk is a thriving and expert risk management function supporting HSBC globally with all aspects of risk management. The team actively manages a varied and dynamic range of risk types, including security, fraud, information security, operational, credit, pension, insurance, compliance, regulatory, market, reputation and geopolitical risks. All parts of the Global Risk team use their skills, insight and integrity to handle established threats and those they see emerging, acting to protect and enable HSBC to deliver sustainable growth.

We are currently seeking an experienced professional to join this team in the role of Senior Regulatory Compliance Surveillance Manager.

Principal Responsibilities:

  • Assist the Regional Head of Surveillance in building out and documenting procedures and guidelines for surveillance and investigations - global standards, regionally anchored.
  • Ensure that the wider Surveillance department has confidence in the expected levels of review coverage, and that the surveillance systems and controls are operating effectively and in accordance with our regulatory expectations.
  • Escalate regulatory breaches to business and Compliance Senior Management in order that appropriate action can be undertaken to rectify.
  • Foster a close relationship with the other Compliance Teams, exchanges and regulators.
  • Assist in the timely review of policy lexicons and subsequent alert production.
  • Identify potential new forms of staff or counterparty misconduct.
  • Determine whether these could be identified through the surveillance
  • team's current systems, processes, people and the data sets surveilled.
  • Ensure that all alerts are satisfactorily escalated and resolved.
  • By looking across the alerts (ie holistically) identify:
    - Improvements the way in which alerts are generated to improve the effectiveness and efficiency of the surveillance process.
    - Individuals potentially engaging in misconduct who may not have been identified through review of the individual alerts.
  • Produce data, MI and analysis to explain the finding from these investigations.
  • Ensure that all actions arising out of these investigations are completed.
  • Ability to work as part of a team, at times as a leader and at others as a participant.
  • Robust and timely record keeping, evidencing monitoring activities undertaken and action taken.


Qualifications
Requirements:
  • Educated to degree level.
  • Strong report writing skills.
  • Ability to lead and develop a team.
  • Ability to handle escalated issues and take these forward with Senior Management.
  • Compliance monitoring experience and expertise is highly desired.
  • A sound understanding of local regulation particularly in relation to the rules relevant to trading and sales activities.
  • In-depth knowledge of local market abuse regulation and overseas regulations an advantage.
  • Sound knowledge of Global Banking and Markets.
  • Sound understanding of the SFO
  • Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory \ implications of analysis and findings.
  • Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management.
  • Ambition to enhance compliance knowledge and skill set in a rapidly changing and dynamic markets environment.
  • Supervisory skills are advantageous.
  • Sound Product Control background / awareness could be an advantage.
  • Ability to use technological resources available for surveillance activities.