Regulatory Compliance Surveillance Manager

Kuala Lumpur, Malaysia
31 Oct 2018
02 Nov 2018
Contract type
Full time
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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 Regulatory Compliance Surveillance Manager.

Principal Responsibilities:
  • As part of the onshore surveillance team, review and investigate alerts which have been escalated from level one (offshore) review teams.
  • Escalate regulatory breaches to business and Compliance Senior Management in order that appropriate action can be undertaken to rectify.
  • Improve overall efficiency of the process and individual performance within the team
  • Provide input / timely production of high quality Management Information.
  • 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
  • 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.
  • Produce data, MI and analysis to explain the finding from these investigations.
  • Ensure that all actions arising out of these investigations are completed.
  • 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
  • Assisting team members with the implementation and roll-out of a new surveillance tools and models.
  • User Acceptance Testing (UAT) of new automated surveillance tests.
  • Providing detailed analysis and test scripts

  • Educated to degree level.
  • Strong report writing skills.
  • 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.
  • Sound Product Control background / awareness could be an advantage.
  • Ability to use technological resources available for surveillance activities.

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