Role Title: Manager Data Management Surveillance

Business: Global Banking and Markets

New or Existing Role: New

Grade: GCB5

Some careers have more impact than others.

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

HSBC Global Banking and Markets is an emerging markets-led, financing-focused business that provides investment and financial solutions. Through our international network, we connect emerging and mature markets, covering key growth areas. We partner with our corporate, government and institutional clients to help them achieve consistent, long-term performance. Our products and services include advisory, financing, prime services, research and analysis, securities services, trading and sales and transaction banking.

We are currently seeking an ambitious individual to join our team as Manager Data Management Surveillance, working together with colleagues to define, manage and achieve divisional business targets.

Role Purpose

Surveillance is responsible for the detection of market abuse, unauthorised trading and other conduct issues in order to safeguard HSBC’s customers, the integrity of financial markets and the bank itself.

• Implement and operate effective controls relating to audio populations undergoing automated and manual audio Surveillance population management across MSS and Banking tier 1 and tier 2 sites, including audio device detail management.
• Undertake daily inbound data checks and management data breaks through to resolution working with external vendors, product management and IT teams.
• Weekly and monthly reconciliation execution and the management of
• KPMG engagement and issue resolution management.
• Management of audio population issues from identification through to resolution.
• Partner with risk owners and risk stewards to understand new and revised regulatory requirements, codes of practice; ensuring surveillance is correctly positioned to satisfy regulatory requirements and changes and that any impact is disseminated to the appropriate Surveillance product owners.
• Input into and track the development of these new surveillance model risk control capabilities into the appropriate model governance tools.
• Ensure that any identified control gaps are satisfactorily documented, escalated and resolved.
• Provide support and guidance for our expanding off-shoring function.
• Carry out in investigations requested by regulators, senior management and the businesses/asset classes into certain practices, businesses, individuals and events. Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations.
• Coordinate or produce regular management information (MI) reports to key internal stakeholders including analysis of the MI.
• Foster a close relationship with key front office and support function stakeholders.
• Assist team members with the implementation and roll-out of a new surveillance tools and models.
• Support the wider Surveillance Data Management team in the resolution of audit and RCRA findings.
• Liaise with Surveillance Product Management, IT and Compliance.
• Present surveillance output at internal control and governance forums.
• Understand financial products and HSBC’s business processes.
• Work across various technology platforms (surveillance, analytics, trading platforms, etc.).

In this role, you will:

• Promote the support of our efforts to accomplish compliance with regulations, as well as with HSBC policies.
• Scrutinise, identify and minimise audio population and device control gaps before they form rather than relying on less frequent testing to identify gaps.
• Ensure the robustness of the audio population management approach and alignment with other controls operated by risk owners and supporting functions.
• Chart progress against (remediation) plans and other operational effectiveness measures.
• Feedback to Compliance colleagues
• Deliver projects as per the agreed timelines
• Process re-engineering opportunities identified and implemented.