- 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 Product Management and Transformation Team, prioritize 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 Surveillance team in the resolution of audit and control findings.
- Liaise with Transformation 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.). Requirements
- Strong EXCEL skills required, inclusive of VBA capability.
- An understanding of the rules relevant to trading and sales activities for financially traded products including Equities, Futures, Fixed Income and FX trading.
- Demonstrable experience (0-3 years of experience) working in a Surveillance role a plus. Consideration will also be given to those with Compliance Advisory, Unauthorized Trading 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.
- Desirable Data Science / programming skills Python, R, SQL, Qlikview.
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Surveillance Analyst - Azcapotzalco, México - HSBC
Descripción
If you're looking for a career where you can make a real impression, join our Global Service Center - HSBC and discover how valued you'll be.
We are currently seeking an experienced professional to join our team in the role of
Surveillance Analyst
Surveillance roles are responsible for the identification and management of undesired risk activities including misconduct and market abuse. 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. (desirable)
Main activities:
