Floor Surveillance Officer Equities

If youre looking for a career that will help you stand out join HSBC and fulfil your potential - whether you want a career that could take you to the top or an exciting new direction we offer opportunities support and rewards that will take you further.

Were one of the largest banking and financial services organisations in the world with a network that covers more than 50 countries and territories. We aim to be where the growth is enabling businesses to thrive and economies to prosper and ultimately helping people fulfil their hopes and realise their ambitions.

Were currently seeking an experienced professional to join our team in the role ofUK Floor Surveillance Officer - Equities(London preferred; Sheffield Birmingham or Edinburgh also available).

Youll be on the front line of protecting market integrity joining a London-based team of specialists monitoring for market abuse within HSBCs non-ring-fenced bank. Operating independently from the business and supported by analysts who complete initial analysis of surveillance outputs youll act as a key pivot point in the alert disposition process - responsible for the review and disposition of escalated alerts in line with local regulatory requirements.

When potential risk is identified youll validate and investigate it then drive the right outcome by escalating to the appropriate next level or filing a report with the FCA. This role is suited to a surveillance practitioner with a strong understanding of equities markets and the full range of equities products and services.

As an HSBC employee in the UK youll have access to tailored professional development opportunities and a competitive pay and benefits package. This includes private healthcare for all UK-based employees enhanced maternity and adoption pay and support when you return to work and a contributory pension scheme with a generous employer contribution.

In this role youll:

• Review and disposition escalated surveillance alerts in line with local regulatory requirements through to closure or further escalation.
• Validate and investigate potential market abuse risks producing clear case narratives supported by robust analysis.
• Oversee onward escalations in conjunction with the relevant RC Risk Steward representing Surveillances assessment and recommended actions.
• Review and draft regulatory filings (STORs) and participate in STOR evaluation presenting where necessary.
• Mentor analysts in HSBCs Centres of Excellence who conduct initial review of alerts providing investigative leadership and guidance across complex systems and booking models and giving effective feedback on review quality.
• Drive continuous improvement in Surveillance by conducting Quality Assurance of alerts within an established framework and identifying potential efficiencies and enhancements in detection processes.
• Represent Surveillance in business governance forums advising business heads on risks detected and providing insight into casework.
• Assess Market Abuse risks faced by the business and align views with the Risk Steward and Risk Owner.

To be successful in this role you should meet the following requirements:

• A strong understanding of equities markets equities products (including derivatives) and HSBCs equities business.
• A developed knowledge of Market Abuse its typologies and variants as well as applicable regulations.
• Ability to navigate complex systems and booking models to reconstruct activity and understand intent.
• Demonstrable investigative capability: able to develop leads follow evidence validate findings and reach sound defensible conclusions.
• Experience of conducting surveillance of wholesale financial markets.
• Experience contributing to and/or drafting STORs with strong attention to regulatory expectations and documentation standards.
• Confidence operating independently from the business with the judgement to escalate appropriately and proportionately.
• Experience mentoring coaching or quality-checking others work (including QA activity) to improve investigative outcomes.
• Strong stakeholder management skills able to communicate clearly with Risk Stewards and senior business leaders.
• Strong prioritisation skills able to…