Principal responsibilities

• Sample, review, investigate and escalate alerts generated by the Surveillance system. This system is designed to identify breaches of internal policies surrounding Information Boundaries or individual behavior that may signify potential risk to company and / or its clients’, in particular that of Market Abuse risks.
• Undertaking daily, weekly and monthly monitoring tests to ensure that the risks within the Surveillance RC monitoring plan are mitigated.
• Identify improvements and assist in the on-going development of systems to improve the efficiency of monitoring.
• Perform error analysis and share in-depth report with leadership.
• Production of accurate and Management Information (MI).
• Foster a close relationship with the various teams, both on and offshore.
• Maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

Requirements

• Strong interpersonal skills and experience of working effectively within a small team.
• Knowledge of financial markets and in particular, financial market regulation.
• Experience in Trade Surveillance, E Communication Surveillance or Audio Surveillance monitoring / oversight or related environment is preferable.
• Knowledge of the surveillance tool is preferable.
• Ability to understand trade and electronic/Voice communications and analyze these for the detection of potential Market Abuse.
• Ability to work under pressure and within tight timelines. Excellent time management and prioritization of work tasks.
• Ability to handle escalated issues and take this forward with Senior Management.
• Any compliance certification
• Knowledge of regulatory norms around capital market
• Any experience in audit related works