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Analyst, Regulatory Compliance Operations – Trade Surveillance

  • Kraków, małopolskie pokaż mapę
  • Specjalista
  • 19.11.2018

    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 – Trade Surveillance
    Location: Kraków
    Ref No: RC/ARC/MS/TS/04/2018
    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 globally. The role is based within the Global Service Centre (GSC) and is part of Regulatory Compliance Operations. The services managed cover first level alerts review, to detect potential cases of untoward activities or behaviours that may be inappropriate and damage the Firm's reputation, possible violations of regulatory rules, industry standards and/or firm policies. The team’s objective is to ensure that all alerts are satisfactorily escalated or closed as benign.

    Key Accountabilities:

    • Communicate system issues to local and on-shore where necessary.
    • Operate in accordance with relevant processes, procedures and workflows,
    • Produce accurate and in-depth Management Information (MI), trend analysis and narrative reports,
    • [DTS1] ,
    • Keep abreast of financial market trends, as well as industry and regulatory changes,
    • 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 all follow ups are closed out in a timely manner and to a satisfactory conclusion, documenting any and all actions, maintaining a clear audit trail of events,
    • Review alerts and eliminate those with no issue in a timely manner, investigate and escalate potential issues as necessary following the predefined workflows,
    • 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,  
    • Contribute to the growth and development of the RC Operations team,
    • Support the growth and expansion of these critical and time sensitive services across Asset Management in multiple countries,
    • Ability to work with colleagues who are based overseas and contribute to global improvements in surveillance,
    • Cooperate with the on-shore Cross Business Surveillance’s team and understand unusual   trading behaviours,
    • 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
      • Group Regulatory Surveillance
      • Regional Surveillance
      • 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,


    • Fluent English essential, other European language(s), would be an asset,
    • Prior experience working in the financial services,
    • Interest in financial markets, instruments and regulations; and willingness to learn more about it,
    • Educated to degree level ,
    • Proficient in Microsoft Office applications (especially Excel) 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, and desire to pass on skills for the good of the team as well as to learn from the other team members,
    • Self-motivated, enthusiastic and proven rapid learning capability,
    • Actively participate in team meetings and bring solutions/suggestions/recommendations to the table
    • Be open to feedback and highlight areas of improvement,
    • Knowledge of financial markets and, in particular, financial market regulations,
    • Understanding of different financial asset classes and instruments,
    • Knowledge of Electronic / Audio or Trade Surveillance monitoring tools,
    • Compliance or surveillance background,
    • Experience in using Bloomberg terminal.

    We offer:

    • Stable job in professional team,
    • Interesting career path in an international organization,
    • Private health care, employees’ benefits,
    • Courses & training for our employees.

    You'll achieve more when you join HSBC.

    All current positions are available on: www.hsbcservicedelivery.com
    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.