Floor Surveillance Officer IWPB
3 days ago
The Floor Surveillance Officer IWPB is responsible for supporting the review and disposition of escalated IWPB surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing effective feedback on review and investigation quality. The role reports to Regional Head of Surveillance ASP. The Regulatory Compliance function is a Second line of defence (LOD) function responsible for managing regulatory compliance risks. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF). The purpose of Surveillance is to safeguard customers and the integrity of financial markets by detecting and deterring market abuse, inappropriate trading and other market conduct risks. In doing so, Surveillance serves to meet HSBC’s regulatory obligations, wider stakeholder expectations, risk appetite policy requirements. Principal Responsibilities Support the effective stewardship over all Level 2 escalations from COE analysts through to closure. Oversee the Level 3 alerts in conjunction with relevant RC Risk Steward, ensuring alert closure or onward escalation is in line with procedures. Review all relevant STOR/STR/SAR potential filings to be presented at the regional STOR/STR/SAR Clearing House for accuracy and completeness of details. Participate in the STOR Clearing House, presenting where necessary and/or supporting the CoE. Preparation of regulatory filings for final sign off by relevant SMR/Accountable Executive or delegate prior to submission. Mentorship of COE analysts, providing BAU training is provided ‘on the job’ through appropriate feedback and to identify talent and areas for development. Provide input into the delivery of the Surveillance Training Programme as directed by Surveillance Oversight. Conduct robust monthly QA of alerts in accordance with the agreed QA framework. To succeed, you will need Experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance. Experience in disposing of alerts. Deep understanding of the IWPB business and products. Strong analytical and problem‑solving skills, with the ability to assess complex issues and implement practical solutions. A proactive and detail‑oriented mindset, ensuring that surveillance processes and controls remain robust and effective. Opening up a world of opportunity Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above. HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website. Issued by The Hongkong and Shanghai Banking Corporation Limited #J-18808-Ljbffr
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Floor Surveillance Officer FX
7 days ago
Kowloon, Hong Kong SAR China HSBC Full timeJoin to apply for the Floor Surveillance Officer FX role at HSBC . 1 week ago Be among the first 25 applicants. The Floor Surveillance Officer FX is responsible for supporting the review and disposition of escalated FX surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and...
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Senior Floor Surveillance Officer FX
7 days ago
Kowloon, Hong Kong SAR China HSBC Full timeSenior Floor Surveillance Officer FX Join to apply for the Senior Floor Surveillance Officer FX role at HSBC . The Senior Floor Surveillance Officer FX is responsible for ensuring that all FX surveillance alert escalations into the region are dispositioned in line with local regulatory requirements. The role requires deep understanding of the FX business and...
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Floor Surveillance Officer FX
3 days ago
Kowloon, Hong Kong SAR China HSBC Full timeThe Floor Surveillance Officer FX is responsible for supporting the review and disposition of escalated FX surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing effective feedback on...
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Floor Surveillance Officer Equities
3 days ago
Kowloon, Hong Kong SAR China HSBC Full timeThe Floor Surveillance Officer Equities is responsible for supporting the review and disposition of escalated Equities surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing effective...
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Senior Floor Surveillance Officer FX
3 days ago
Kowloon, Hong Kong SAR China HSBC Full timeThe Senior Floor Surveillance Officer FX is responsible for ensuring that all FX surveillance alert escalations into the region are dispositioned in line with local regulatory requirements. The role requires deep understanding of the FX business and products. The role serves as a pivotal point in the surveillance disposition process and key responsibilities...
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Floor Surveillance Officer Fixed Income
3 days ago
Kowloon, Hong Kong SAR China HSBC Full timeThe Floor Surveillance Officer Fixed Income is responsible for supporting the review and disposition of escalated Fixed Income surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing...
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Floor Surveillance Officer Fixed Income
7 days ago
Kowloon, Hong Kong SAR China HSBC Full timeThe Floor Surveillance Officer Fixed Income is responsible for supporting the review and disposition of escalated Fixed Income surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing...
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Surveillance Floor Lead – QA, Mentorship
3 days ago
Kowloon, Hong Kong SAR China HSBC Full timeA global financial institution in Hong Kong seeks a Floor Surveillance Officer to manage and review escalated surveillance alerts while mentoring junior analysts. This role demands strong analytical skills and a proactive approach to ensuring compliance with regulatory standards. The successful candidate will have experience in surveillance within large...
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Senior FX Surveillance Lead
7 days ago
Kowloon, Hong Kong SAR China HSBC Full timeA leading financial institution in Hong Kong is seeking a Senior Floor Surveillance Officer FX responsible for overseeing FX surveillance alerts and ensuring compliance with regulatory standards. The ideal candidate should have extensive experience in surveillance functions and the ability to mentor junior analysts. This role offers a chance to work in a...
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FX Surveillance Lead: Escalations, QA
7 days ago
Kowloon, Hong Kong SAR China HSBC Full timeA leading financial institution in Hong Kong seeks a Floor Surveillance Officer FX to support regulatory compliance and oversee FX surveillance alerts. The ideal candidate will have experience in a surveillance function within a large financial institution and strong analytical skills. This role includes mentorship and quality assurance responsibilities,...
