Senior Floor Surveillance Officer IWPB

HSBC; Greater London; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading global financial services organization is seeking a professional for a role in regulatory compliance, specifically in Surveillance. The position involves ensuring adherence to market regulations, providing mentorship, and managing key stakeholder relationships in London. Ideal candidates will have solid experience in Financial Crime and strong analytical skills. The company values diversity and inclusivity in the workplace.

Qualifications

• Strong understanding of MAR, MIFID, the FCA Handbook and related regulations.
• Experience in compliance roles with a focus on Surveillance or Financial Crime.
• Excellent stakeholder management and communication skills.

Responsibilities

• Ensure surveillance alert escalations are processed per regulatory requirements.
• Provide input for new surveillance controls and technologies.
• Manage regulatory filings from preparation to submission.

Skills

Strong understanding of market abuse and relevant industry regulations

Experience in a Surveillance, Financial Crime, or similar Compliance role

Strong stakeholder management

Ability to analyse and present complex information

Ability to think strategically and demonstrate resilience

Job description

If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be.

HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people to fulfil their hopes and realise their ambitions.

What you will be doing:

• Ensuring that all surveillance alert escalations into the relevant region are dispositioned in line with local regulatory requirements.
• Provide SME input into the development and deployment of new surveillance controls and technologies.
• Ownership of regulatory filings from preparation to final sign off by relevant SMR/Accountable Executive or delegate, and submission to regulators.
• Mentorship of COE analysts, providing BAU training is provided ‘on the job’ through appropriate feedback and to identify talent and areas for development, alongside delivery of the Surveillance Training Programme as directed by Surveillance Oversight.
• Build and maintain strong and productive working relationships with key stakeholders from the business, Compliance and Control Office.

Qualifications:

• Strong understanding of market abuse and relevant industry regulations, such as: MAR, MIFID, the FCA Handbook and other relevant global regulations.
• Experience in a Surveillance, Financial Crime, or similar Compliance role.
• Strong stakeholder management and influencing capabilities, with ability to communicate across levels of seniority.
• Ability to analyse and present complex information in a clear, concise, and precise written and verbal format.
• Ability to think strategically, laterally and demonstrate resilience.

The role location will be London.

Being open to different points of view is important for our business and the communities we serve. At HSBC, we’re dedicated to creating diverse and inclusive workplaces - no matter their gender, ethnicity, disability, religion, sexual orientation, or age. We are committed to removing barriers and ensuring careers at HSBC are inclusive and accessible for everyone to be at their best. We take pride in being a Disability Confident Leader and will offer an interview to people with disabilities, long term conditions or neurodivergent candidates who meet the minimum criteria for the role.

If you have a need that requires accommodations or changes during the recruitment process, please get in touch with our Recruitment Helpdesk:

Email: [e-mail]
Telephone: [phone]