Floor Surveillance Officer Equities at HSBC Securities Services Luxembourg

, Kowloon, Hong Kong S.A.R. -

Full Time

Start Date

Immediate

Expiry Date

20 Feb, 26

Salary

0.0

Posted On

22 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Surveillance, Regulatory Compliance, Analytical Skills, Problem-Solving, Equities Business, Trade Surveillance, Mentorship, Quality Assurance, Training, Market Abuse Detection, Risk Management, Attention to Detail, Escalation Management, Communication Skills, Stakeholder Engagement, Filings Preparation

Industry

Financial Services

Description

The Floor Surveillance Officer Equities is responsible for supporting the review and disposition of escalated Equities surveillance alerts in line with local regulatory requirements. The role serves as a pivot point in the surveillance disposition process and includes mentorship, QA and training of more junior surveillance analysts, providing effective feedback on review and investigation quality. The role reports to Regional Head of Surveillance ASP. The Regulatory Compliance function is a Second line of defence (LOD) function responsible for managing regulatory compliance risks. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF). The purpose of Surveillance is to safeguard customers and the integrity of financial markets by detecting and deterring market abuse, inappropriate trading and other market conduct risks. In doing so, Surveillance serves to meet HSBC’s regulatory obligations, wider stakeholder expectations, risk appetite policy requirements. Principal Responsibilities Support the effective stewardship over all Level 2 escalations from COE analysts through to closure. Oversee the Level 3 alerts in conjunction with relevant RC Risk Steward, ensuring alert closure or onward escalation is in line with procedures. Review all relevant STOR/STR/SAR potential filings to be presented at the regional STOR/STR/SAR Clearing House for accuracy and completeness of details. Participate in the STOR Clearing House, presenting where necessary and/or supporting the CoE. Preparation of regulatory filings for final sign off by relevant SMR/Accountable Executive or delegate prior to submission. Mentorship of COE analysts, providing BAU training is provided ‘on the job’ through appropriate feedback and to identify talent and areas for development. Provide input into the delivery of the Surveillance Training Programme as directed by Surveillance Oversight. Conduct robust monthly QA of alerts in accordance with the agreed QA framework. To succeed, you will need Experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance. Experience in disposing of alerts. Deep understanding of the Equities business and products. Strong analytical and problem-solving skills, with the ability to assess complex issues and implement practical solutions. A proactive and detail-oriented mindset, ensuring that surveillance processes and controls remain robust and effective. Opening up a world of opportunity http://www.hsbc.com/careers HSBC is committed to building a culture where all employees are valued, respected and 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. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website. Issued by The Hongkong and Shanghai Banking Corporation Limited. https://www.youtube.com/embed/QmZ7Un5gR8c?si=LCa6slfBqlUlxUE-

Responsibilities

The Floor Surveillance Officer Equities supports the review and disposition of escalated Equities surveillance alerts and oversees the closure of Level 3 alerts. The role also includes mentorship and training of junior analysts while ensuring compliance with regulatory requirements.