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AVP, Regulatory Compliance Global Surveillance Operations

  • Kraków, małopolskie pokaż mapę
  • Dyrektor/Prezes
  • 14.06.2018

    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:

    AVP, Regulatory Compliance Global Surveillance Operations

    Location: Kraków
    Ref No: RC/AVP/MS/05/2018

    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 AVP, Regulatory Compliance Global Surveillance Operations leads the Managers and their respective teams to deliver team to deliver daily first level regulatory compliance surveillance and monitoring services based on a pre-defined program across the Firm's business divisions within EMEA and other locations where permissible. 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 behaviour 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.

    Main Duties:

    • Oversight for time critical and sensitive regulatory compliance issues arising from day-to-day 1st level monitoring and surveillance activity
    • Draw conclusions from own or team analysis, advising and making appropriate recommendations to the Compliance Senior Management and GB&M / GBL’s / RC Operations in order to rectify issues identified.
    •      Maintain positive working relationships with business line management, internal control and appropriate senior management stakeholders to support adherence to assigned regulation(s), regulatory requirements and/or compliance risks.
    • Keep abreast of industry and regulatory changes, ensuring risks and issues are on the agenda and articulated effectively to CSA and RC Operations, ensuring issues are raised and followed through to
    • Ability to multitask with a good eye for detail.
    • Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management.
    • Work closely with Global Head of CSA, IT and Regional RC leads to implement Markets Surveillance Standards (MSS) project across the Globe.
    • Ensure correct GSC support to roll out the MSS project
    • Foster a close relationship with Country and Regional Compliance teams, ensuring relevant global standards are upheld; timely reporting and effective management of performance level agreements.
    • Work closely with CSA, RC Operations, RC team onshore and the LCOs in the continuous development and enhancement of Compliance monitoring.


    • Experience in Monitoring & Surveillance, Financial Markets or compliance related environment
    • Good English (preferably also at least one other European Language)
    • Educated to degree level (preferable).
    • Proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new technology
    • Appropriate analytical skill to dissect key information and have a good eye for detail
    • Ability to work under pressure and within tight time-lines. Excellent time management and prioritisation of work tasks.
    • Ability to support decisions with sound reasoning.
    • Strong leadership skills
    • Self-motivated, enthusiastic and proven rapid learning capability.
    • Ability to use technological resources available for surveillance activities.

    Can be considered as advantages:

    • Deep 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

    We offer:

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


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

    Applications sent to us will be taken into consideration only if they include the following statement:

    I hereby declare that I have familiarized myself with the Privacy Statement for Applicants published at http://www.about.hsbc.pl/careers and I hereby give consent for personal data included in my application to be processed for the purposes of recruitment in HSBC Service Delivery (Polska) Sp. z o. o. according to rules described in the Privacy Statement for Applicants, as per the Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (GDPR).”

    In case you would like to resign from participation in recruitment process or withdraw previously sent to us application, please email us at: [email protected]