Home Invites Members Groups Events Careers Directories Videos News Photos Blogs Singles Forums Chat Health & Wellness
Home > Career Center > Job Seekers > Job Search
Job Title: Assistant Vice President Senior Regulatory Compliance Officer, Fixed Income, Equities or Conflicts
Company Name: HSBC
Location: New York, NY
Position Type: Full Time
Post Date: 05/16/2018
Expire Date: 07/15/2018
Job Categories: Accounting/Auditing, Finance/Economics, Financial Services, Information Technology, Research & Development
Job Description
Assistant Vice President Senior Regulatory Compliance Officer, Fixed Income, Equities or Conflicts
Surveillance roles are 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.
Role holder will carry out activities which will include most of the below:
  • 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.
  • In liaison with the Change Team, prioritise the development of the systems, processes, people and data sets needed to (better) identify these new forms of misconduct for their business/asset class.
  • Input into and track the development of these new surveillance capabilities.
  • Deal with the alerts once they have already been passed through a first (level one) filter by the offshore team.
  • Ensure that all alerts are satisfactorily escalated and resolved.
  • Provide support and guidance for our expanding off-shoring function
  • 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.
  • Carry 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.
  • Coordinate or produce regular MI reports to key internal stakeholders including analysis of the MI.
  • Foster a close relationship with key front office and support function stakeholders.
  • Assist team members with the implementation and roll-out of a new surveillance tools and models.
  • Present surveillance output at internal control and governance forums.
  • Support the Conduct Surveillance and Analytics team in the resolution of audit and control findings
  • Liaise with change management and technology and aid surveillance in delivery.
  • Analyse and explore multiple data types in order to identify anomalies and patterns of risk
  • Understand financial products and HSBC’s business processes around these
  • Work across various technology platforms (surveillance, analytics, trading platforms, etc.)
Impact on the Business
  • Provide subject matter expertise to support and drive the implementation and enhancement of the Global Markets Surveillance solutions.
  • Analyze and investigate potential instances of market abuse and misconduct detected by the solutions.
  • Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management.
  • Improve overall efficiency of the process and individual performance within the team.
  • Influence the behavior of the business and its support functions by acting as a deterrent.
  • Challenge existing surveillance tools and models and contribute to the creation and development of new models and detection tools. 
  • Perform ad-hoc trading reviews.
  • Assists management and the line of business Compliance Officers in identifying and containing compliance risk, monitoring, reporting, and certification, fostering a compliance culture and optimizing relations with regulators
Customers / Stakeholders
  • Provide subject matter expertise to support and drive the implementation and enhancement of the Global Markets Surveillance solutions.
  • Analyze and investigate potential instances of market abuse and misconduct detected by the solutions.
  • Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management.
  • Improve overall efficiency of the process and individual performance within the team.
  • Influence the behavior of the business and its support functions by acting as a deterrent.
  • Challenge existing surveillance tools and models and contribute to the creation and development of new models and detection tools. 
  • Perform ad-hoc trading reviews.
  • Assists management and the line of business Compliance Officers in identifying and containing compliance risk, monitoring, reporting, and certification, fostering a compliance culture and optimizing relations with regulators
Leadership & Teamwork
  • Support achievement of the HSBC vision, values, goals and culture in personal behavior, actions and decision making.
  • Take personal responsibility for understanding and agreeing performance expectations, completing the necessary mandatory training and developing the levels of capability and competence needed to be effective in the role.
  • Contribute to team development, effectiveness and success by sharing knowledge and good practice, working collaboratively with others to create a productive, diverse and supportive working environment.
  • Build and maintain teams with effective inter-personal dynamics.
  • Ability to act proactively and multitask.
  • Desire to pass on skills for the good of the team and learn from the other team members.
  • Self - motivated, enthusiastic and proven rapid learning capability.
  • Actively participate in team meetings, bringing solutions / suggestions / recommendations to the table.
  • Ability to work unsupervised and efficiently prioritize.
  • Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management.
Operational Effectiveness & Control
  • Support achievement of the HSBC vision, values, goals and culture in personal behavior, actions and decision making.
  • Take personal responsibility for understanding and agreeing performance expectations, completing the necessary mandatory training and developing the levels of capability and competence needed to be effective in the role.
  • Contribute to team development, effectiveness and success by sharing knowledge and good practice, working collaboratively with others to create a productive, diverse and supportive working environment.
  • Build and maintain teams with effective inter-personal dynamics.
  • Ability to act proactively and multitask.
  • Desire to pass on skills for the good of the team and learn from the other team members.
  • Self - motivated, enthusiastic and proven rapid learning capability.
  • Actively participate in team meetings, bringing solutions / suggestions / recommendations to the table.
  • Ability to work unsupervised and efficiently prioritize.
  • Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management.


HSBC is blazing the trail for African-American colleagues, check it out: https://youtu.be/NnvZ77DbfXQ

As you complete your online application, please use source code: Historically Black Colleges and Universities. If you would like to notify HSBC's Diversity Recruiting team of your application, please e-mail diversity.recruiting@us.hsbc.com.

Qualifications & Requirements

  • A strong understanding of the rules relevant to trading and sales activities for Fixed Income.
  • Expert knowledge of financial markets and traded Fixed Income products.
  • Demonstrable experience (3 or more years) working in a Surveillance role. Consideration will also be given to those with Compliance Advisory or Front-office experience.
  • Ability to support decisions with sound reasoning. Ability to clearly articulate business and regulatory implications of analysis and findings.
  • Strong analytical skills.
  • Evidence of collaboration with key stakeholder functions as well as providing credible challenge to the business/desk supervisors in their daily risk management.
  • Well-developed communications, analytical, organizational, and project management skills.

EEO/AA/Minorities/Women/Disability/Veterans
Share |
Contact Information
Company Name: HSBC
Website:http://hbcuconnect.com/resumes/?cid=61&job_id=11903970
Apply Now | Forward Job to a Friend | More Jobs From This Employer

(Advertise Here)
New Members
>> more | invite 
Latest Jobs
Business Regional Campus Director and Faculty (F701) with Azusa Pacific University in San Bernardino, CA.
Geek Squad Home Theater Agent with Best Buy in Northbrook, IL.
Geek Squad Delivery Experience Cadet - Santa Fe with Best Buy in Santa Fe, NM.
Project Team Specialist - Overnight Based in North East MSP Area with Best Buy in Richfield, MN.
Geek Squad Consultation Agent with Best Buy in Memphis, TN.
>> more | add
Employer Showcase
>> more | add