Assistant Manager, E-Communication Surveillance Specialist

7 days ago


Guangzhou, Guangdong, China HSBC Full time
Job Title: Assistant Manager, E-Communication Surveillance

HSBC is seeking an experienced professional to join our team in the role of Assistant Manager, E-Communication Surveillance. This position is responsible for reviewing, investigating, and escalating alerts generated by the Surveillance system to identify breaches of internal policies and potential risks to the company and its clients.

Key Responsibilities:
  • Review and investigate alerts generated by the Surveillance system to identify potential risks and breaches of internal policies.
  • Escalate findings to senior management and take forward issues as required.
  • Undertake daily, weekly, and monthly monitoring tests to ensure that risks within the Surveillance RC monitoring plan are mitigated.
  • Identify improvements and assist in the on-going development of systems to improve the efficiency of monitoring.
  • Assist with the User Acceptance Testing (UAT) of newly developed monitoring tests.
  • Produce accurate and in-depth Management Information (MI).
  • Foster a close relationship with various teams, both on and off-shore.
  • Maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.
Requirements:
  • Strong interpersonal skills and experience of working effectively within a small team.
  • Knowledge of financial markets and in particular, financial market regulation.
  • Experience in Trade or E/Voice-Surveillance monitoring / oversight or related environment is preferable.
  • Knowledge of the surveillance tool is preferable.
  • Ability to understand trade and electronic/Voice communications and analyse these for the detection of potential Market Abuse.
  • Ability to work under pressure and within tight time-lines. Excellent time management and prioritisation of work tasks.
  • Fluent Japanese speaking, listening, writing and reading.


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