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Regulatory Compliance Manager International Bank
- Familiar with stock transaction and fund market.
- Good English communication
About Our Client
One of the world's largest banking and financial services organizations. With around thousands of offices in both established and emerging markets.
*Ensure continuous and effective service to onshore compliance teams who are business partners for the function.
*Manage Asst Managers and derive maximum benefit out of their abilities.
*Be a subject matter expert and guide the AM's in their day to day decision making process and escalation activities.
*Lead and provide guidance on the implementation of new monitoring areas, such as ST, Reuters, social media monitoring, Futures and Forex.
*Review the work done by the AM's and provide appropriate developmental feedback.
*Imperative escalation of potential regulatory and internal market misconduct breaches to Compliance Senior Management onshore.
*Stay continuously engaged with the team to understand their progress, challenges, improvement areas and development needs
*Build and maintain teams with effective inter-personal dynamics.
*Proactively identify FTE requirements and inform Business Partners. Effectively handle recruitment needs.
*Manage and oversee expansion of Monitoring & Surveillance to other regions.
*Production of accurate and in-depth Management Information (MI).
*Foster a close relationship with the various Compliance teams, both on and off-shore.
*Maintain HSBC internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.
*Be aware of the Operational Risk scenarios associated with the role and act in a manner that takes account of operational risk considerations.
*Discharge the accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk; monitoring, reporting and certification; fostering a compliance culture and optimising relations with Regulators.
The Successful Applicant
*Experience in Monitoring & Surveillance or related environment is preferable.
*Ability to understand Trade & E - communications and analyse these for the detection of potential Market Abuse.
*A good knowledge of Excel and Access with the ability to use macros to help solve non-standard problems.
Can be considered as advantages:
*Knowledge of financial markets and in particular, financial market regulation
*Knowledge of E-Surveillance & Trade Surveillance monitoring tools.
*Ability to clearly articulate business and regulatory implications of analysis and findings
*Ability to act proactively and multitask
*Graduate level candidate with experience in an internal audit or compliance environment preferable (but not essential).
*An interest, and knowledge, of financial markets, various asset classes and regulation is required.
*Ability to work under pressure and within tight time-lines. Excellent time management and prioritisation of work tasks.
*Excellent system skills as the role includes a requirement to undertake complex behaviour analysis derived from various data sources.
*Ability to support decisions with sound reasoning and clearly articulate business and regulatory implications of the analysis and findings.
*Desire to pass on skills for the good of the team and learn from other team members.
*Ability to handle escalated issues and take these forward with Senior Management
*Self-motivated, enthusiastic and proven rapid learning capability.
*Committed to completion of work tasks.
*Utilises own initiative to resolve issues.
*Exemplary interpersonal and Communication skills
*Ability to lead and be part of team
*Time management skills are essential
What's on Offer
We put diversity at the heart of our business. Joining us will give you the chance to work in a collegiate, supportive and inclusive environment in which we seek to develop and promote people based on merit. We will provide you with tailored training and support to help you identify and follow your chosen career path, as well as access to a range of market-competitive benefits.