Manager, Regulatory Compliance Operations – Monitoring & Surveillance

HSBC Service Delivery (Polska) Sp. z o.o.O firmie

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HSBC Service Delivery (Polska) Sp. z o.o.

Kapelanka 42A

Kraków

Manager, Regulatory Compliance Operations – Monitoring & Surveillance
(French or Spanish or Italian)

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 Manager undertakes daily first level Regulatory Compliance surveillance and monitoring services based on a pre-defined program across the Firm's business divisions within EMEA and the US. 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.

In addition, within Regulatory Compliance, the role of Manager may also encompasses Regulatory Affairs & Policy Information Delivery, which is one of the processes established to monitor and capture material regulatory developments that impact HSBC Businesses. The purpose of this process is to standardize the current, manual regulatory development tracking process globally, creating a one-stop repository of information for all material regulatory developments. It will support the wider purpose of the RC function of working with the Global businesses and Global Functions to help them identify and manage their Regulatory risk.

Main Duties:

  • Cooperate with the on-shore global markets and banking business and understand unusual communication and trading behaviours,
  • Ability to work with 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 Conduct Surveillance Analytics (CSA) & CSA Change team
    • 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,
  • Keep abreast of financial market trends, as well as industry and regulatory changes,
  • Review Regulatory Development alerts generated by the system and manually scan various Regulatory Websites in order to identify new regulatory developments,
  • Perform periodic Quality check on open/completed/assigned alerts and share reports with the business,
  • Produce accurate and in-depth Management Information (MI), trend analysis and narrative reports,
  • Drives a culture of continuous improvement within own team, leveraging from analytics as appropriate,
  • Builds and develops a high performing team, overseeing resourcing campaigns for their team area and working effectively with Education / Quality to optimize performance,
  • Motivates and supports the team to perform at their best,
  • Reviews the work done by the team and provides appropriate feedback,
  • Stays continuously engaged with the team to understand their progress, challenges, improvement areas and development needs,
  • Acts as the local subject matter expert for the team in their specific surveillance area, sharing own knowledge for the good of the team and openly learns from others,
  • Proactively manages team capacity and ensures capacity models are robust, liaising with Business Partners on FTE requirements,
  • Actively participates in team meetings. Bringing solutions / suggestions / recommendations to the table.

Requirements:

  • Fluent English essential, as well as other European language(s), especially French or Italian or Spanish,
  • Prior experience working in financial services,
  • Educated to degree level,
  • Strong interpersonal skills and ability to lead by example,
  • 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, 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.

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.

To apply for this position please send your curriculum vitae in English, 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]

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