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Analyst - Regulatory Compliance Operations - Conduct Surveillance (French or Spanish or German)

  • Kraków, małopolskie pokaż mapę
  • Specjalista
  • 20.02.2018

    Pracodawca ma prawo zakończyć rekrutację we wcześniejszym terminie.

    HSBC Service Delivery (Polska) Sp. z o.o. is a part of HSBC Holdings plc, the parent company of the HSBC Group, headquartered in London. The Group serves customers worldwide from over 6,300 offices in over 75 countries and territories in Europe, Asia, North and Latin America, and the Middle East and North Africa. HSBC is one of the world’s largest banking and financial services organisations. Currently, we are looking for a candidate for the position of:

    Analyst - Regulatory Compliance Operations - Conduct Surveillance (French or Spanish or German)
    Location: Kraków
    Ref No: RC/CS/multi/02/2018
    Global regulators have an increasing expectation that firms have adequate systems and controls to conduct surveillance against, among others, market abuse offences such as Insider Dealing, Market Manipulation and Dissemination.
    The Analyst, undertakes daily first level regulatory compliance surveillance and monitoring services based on a pre-defined program across the Firm's business divisions within the US and globally. The role is based within the Global Service Centre (GSC), in support of the Markets Regulatory Compliance Conduct Surveillance & Analytics (CSA) team and as part of RC Operations. The services managed cover first level alert review, to detect potential cases of untoward activities or behaviors that may be inappropriate and damage the Firm's reputation, possible violations of regulatory rules, industry standards and firm policies. The team objective is to ensure that all alerts are satisfactorily escalated or closed as benign.
    The incumbent will be required to keep abreast of industry and regulatory changes.

    Main Duties:

    • mmunication and trading behaviors,
    • Ability to work with CSA colleagues who are based overseas and contribute to global improvements in surveillance,
    • Support the growth and expansion of these critical and time sensitive services across all Global Business Lines in multiple countries,
    • Contribute to the growth and development of the RC Operations team,
    • Undertake independent Surveillance and Monitoring in order to obtain assurance that the businesses are operating in line with relevant laws, regulations, codes and HSBC Group Standards,  
    • Review alerts and eliminate those with no issue in a timely manner, investigate and escalate potential issues as necessary and document the resolution and any corrective action taken ,
    • Ensure all follow ups are closed out in a timely manner and to a satisfactory conclusion,
    • Maintain statistics and metrics for appropriate stakeholders, identify patterns and contribute to management reports for appropriate escalation of significant issues, accomplishments and forward looking risks,
    • Ensure continuous and effective service to country compliance teams / Business Partners,
    • Escalate potential regulatory and internal market misconduct breaches to Compliance Senior Management onshore,
    • Foster a close relationship with the various Compliance teams, both on and off-shore.
    • Country and Regional Business Partners
    • Global CSA
      • Regional Surveillance
      • CSA Change Team
      • GSC Stakeholders e.g. Management, Risk & Control Officers, Business Management
      • Contribute to relationship management meetings and maintain a close relationship with onshore partners,
    • Work competently in their specific surveillance area, sharing own knowledge for the good of the team and openly learn from others,
    • Work in a methodical manner and demonstrate an ability to support operational decisions or recommendations with sound reasoning,
    • Keep abreast of onshore developments and financial market trends,
    • Produce accurate and in-depth Management Information (MI), trend analysis and narrative reports.


    • English essential, as well as other European language(s) especially French or German or Spanish
    • Prior experience working in the financial services
    • Educated to degree level
    • Proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new technologies
    • Appropriate analytical skills to dissect key information and have a good eye for detail
    • Ability to work under pressure and within tight timelines. Excellent time management and prioritisation of work tasks
    • Ability to support decisions with sound reasoning and in a clear manner
    • Ability to work independently and be part of a team
    • Self-motivated, enthusiastic and proven rapid learning capability

    Can be considered as advantages:

    • Knowledge of financial markets and, in particular, financial market regulation
    • Knowledge of Electronic / Audio or Trade Surveillance monitoring tools
    • Ability to use macros to help solve non-standard problems
    • Compliance or surveillance background

    We offer:

    • Stable job in professional team
    • Interesting career path in an international organization
    • Private health care, employees’ benefits
    • Courses & training for our employees
    • Modern office buildings near the city center of Kraków

    You'll achieve more when you join HSBC.

    All current positions are available on: http://www.hsbc.com/careers

    To apply for this position please send your curriculum vitae in English including reference number, using "Apply now" button below.

    We thank all interested candidates for their applications. We reserve the right to contact only selected candidates. Only those applications that include the candidate's consent to process personal data by HSBC Service Delivery (Polska) Sp. z o.o., in accordance with the Data Protection Act as of 29 August 1997 (Journal of Acts of 2002, No 101, pos. 926 with later amendments) will be considered.