Surveillance - FCTM Surveillance ASP

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 Job Description - Surveillance - FCTM Surveillance ASP (0000EG1U)

Job Description 

Surveillance - FCTM Surveillance ASP : 0000EG1U 



In this role, you will:

  • The Vice President, Surveillance is a key role to support regional efforts. The role has broad responsibilities for supporting implementation and management with guidance from Head of the group on all aspects of surveillance for Hang Seng Bank and its subsidiaries. The roll will provide oversight over the surveillance and transaction framework, investigation and trend analysis of trade and communication surveillance, regulatory changes, managing regulatory risk assessment, assessing conduct risks, providing compliance advisory, and driving and execution of the various FCTM work streams and assurance for Hang Seng Bank, while ensuring alignment with Global Standards and local requirements.

  • The role requires strong partnership with the various GBM business and leadership teams, which are the Treasury sales & trading teams covering all major assets classes, research teams and balance sheet management. Due to the global/ regional aspects of the business model, the role also requires active collaboration with GBM and regulatory compliance teams.

  • The role will also need to stay at the forefront of regional regulatory changes impacting GBM to provide support for proactive communication with business and develop appropriate policy and framework to manage the changes, including creating FCTM awareness through proactive engagement with business stakeholders and training.

  • The role will also provide a second line of defense assurance to local management and Regional RC by assisting in the  planning and execution of a risk-based compliance monitoring program and conduct such reviews and surveillance (where required), and duly escalate any material regulatory breaches, incidents or exceptions noted to the Head FCTM Surveillance Asia.

HSBC is an equal opportunity employer committed to building a culture where all employees are valued, respected and where opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.



  • An understanding of Global Markets and “private side” business and understanding of information control barrier risks. Strong knowledge of financial products, such as Equities, Fixed income and/or Foreign exchanges. In particular, strong knowledge of OTC derivatives (FX, Options, Fixed income & Structured derivatives, Interest rate swaps, Equity Derivatives, Credit Derivatives etc.) would be highly preferred.
  • Ability to understand trade and Unaurthorised Trade Surveillance and analyse these for the detection of potential Market Abuse & Unauthorised Trading.
  • Experience in Global Markets surveillance, particularly trade related is preferable, but not essential. Experience in ‘private side’ surveillance, particularly in Global Banking, Commercial Banking and HSS is preferable, but not essential.
  • The ability to analyse and present complex information in a clear, concise and precise written and verbal format is essential.
  •   Able to communicate in smooth Cantonese, Mandarin and English.
  • A team player that can Contribute to team development, effectiveness and success by sharing knowledge and good practice, working collaboratively with others to create a productive, diverse and supportive working environment.

***Issued by HSBC Electronic Data Processing (Guangdong) Ltd. GSC China***



Job Field

 : Risk and Compliance

Primary Location

 : Asia Pacific-China-Guangdong-Guangzhou


 : Full-time 


 : Day JobType of Vacancy : Country vacancy

Job Posting

 : 16-Jun-2020, 11:38:29 

Unposting Date

 : 30-Jun-2020, 23:59:00  

27 November 2020
Work type:
Full time
Banking and Financial Services
PLEASE! No enquiries from Recruitment Agencies or Headhunters.

Only direct applications will be considered.

This career opportunity is no longer open.
Please search for current vacancies here.

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