Senior Floor Surveillance Officer FX

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 products. The role serves as a pivotal point in the surveillance disposition process and key responsibilities include mentorship, QA and training of more junior surveillance analysts, providing effective feedback on review and investigation quality. The role reports to the Regional Head of Surveillance. 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 Maintaining effective stewardship over all FX Level 2 escalations from COE analysts through to closure. Overall responsibility for FX Level 3 alerts in conjunction with relevant RC Risk Steward, maintaining ownership of alert closure or onward escalation. Review all relevant FX STOR/STR/SAR potential filings to be presented at the regional STOR/STR/SAR Clearing House for accuracy and completeness of details. Provide experienced practitioner input to the discussions at the STOR Clearing House to ensure that the decision to file (or not file) is at the expected regulatory standard. 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. Delivery of the Surveillance Training Programme as directed by Surveillance Operational Oversight. Conduct robust monthly QA of alerts in accordance with the agreed QA framework. Work closely with the relevant RC Risk Stewards and where appropriate join business line RC meetings. Join front office/NFR meetings and present Surveillance metrics where required. To succeed, you will need Extensive experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance. Experience in designing and delivering training and development programmes for surveillance professionals. Deep understanding of how FX markets work and platforms that are used for order and trade executions 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. Core skills like leadership, analytical thinking, stakeholder management, quality management are required. Opening up a world of opportunity 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