As our Fixed Income Surveillance Analyst, you will be an integral part of the team that is responsible for the identification and management of undesired risk activities including conduct risk and financial crime risk. They are responsible for integrating prescribed and required forms of surveillance in the business, complimentary to existing process/systems.
The key area of focus will be the implementation of the conduct surveillance and analytics strategy across Business Line(s) in order to identify misconduct of our staff and our counterparties.
Our purpose - Opening up a world of opportunity - explains why we exist. We're here to use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to build a better world - for our customers, our people, our investors, our communities and the planet we all share.
You will be responsible for:
Identifying potential new forms of staff or counterparty misconduct.
Determining whether these could be identified through the surveillance team's current systems, processes, people and the data sets surveilled.
In liaison with the Product Management and Transformation Team, prioritize the development of the systems, processes, people and data sets needed to (better) identify these new forms of misconduct for their business/asset class.
Having input on and tracking the development of these new surveillance capabilities.
Dealing with the alerts once they have already been passed through a first (level one) filter by the offshore team.
Ensuring that all alerts are satisfactorily escalated and resolved.
Providing support and guidance for our expanding off-shoring function.
Examining and suggesting improvements to the way they are generated to improve the effectiveness and efficiency of the surveillance process.
Carrying out in investigations requested by Regulators, senior management and the businesses/asset classes into certain practices, businesses, individuals and events. Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations.
Coordinating or producing regular MI reports to key internal stakeholders including analysis of the MI.
Fostering a close relationship with key front office and support function stakeholders.
Assisting team members with the implementation and roll-out of a new surveillance tools and models.
Presenting surveillance output at internal control and governance forums.
Supporting the Surveillance team in the resolution of audit and control findings.
Liaising with Transformation and Technology and aid Surveillance in delivery.
Analyzing and explore multiple data types in order to identify anomalies and patterns of risk.
Understanding financial products and HSBC's business processes around these.
Working across various technology platforms (surveillance, analytics, trading platforms, etc.).
Internal Number: 862683
HSBC was born from one small idea: a local bank serving international needs. We started our business in Hong Kong in 1865. In 2015, HSBC celebrates its 150th year anniversary. Over the years, HSBC grew through expanding its branch network, offering new products and establishing its own investment banking arm.
We aim to be where the growth is, connecting customers to opportunities, enabling businesses to thrive and economies to prosper, and ultimately helping people fulfill their hopes and realize their ambitions.
• Located in 72 countries and territories
• Serving around 48 million customers
• Supported by over 268,000* people
• Head office in US is New York City
We aim to be dependable, open and connected in everything we do. We want to ensure that our employees feel able to stand up for what is right, highlight potential risks and act with integrity, even when faced with pressure to act otherwise. By doing so, we will be able to meet expectations of society, customers, regulators and investors. To make sure everybody at HSBC lives up to these values, they are a part of everyone's annual performance review.
At HSBC, you will find that we are dependable, o...pen to different ideas and cultures, and connected to customers, communities, regulators and each other. Our culture has a family feel to it – our employees are encouraged to work together to reach a common goal. This idea is supported and encouraged at the leadership level and passed down.
Our size and global reach mean more opportunities for you to grow your career with us.
We are looking for forward-thinking, driven, perceptive candidates to help our customers realise their hopes, dreams and ambitions.
This means people who are dependable, open to different ideas and cultures, and enjoy being part of a team; people who have the potential to become the future leaders of HSBC.
We encourage you to drive your own development and build your network within your office and around the world.
We provide the opportunities for you to connect with customers, colleagues and the communities in which we operate.