Floor Surveillance Officer

In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position.

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 the Senior Floor Surveillance Officer Equities. 

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.

As the Floor Surveillance Officer, you will:

• 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.

You´ll likely have the following qualifications to succeed in this role: 

• 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 how Equities markets work and platforms that are used for order and trade executions 
• 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.

At HSBC, our overall goal is to provide a competitive Total Reward Package, with an appropriate mix of fixed pay, and variable pay, as part of an employee's overall total compensation and benefits. Variable pay generally takes the form of discretionary, annual awards (sometimes referred to as a "bonus"). Additionally, HSBC offers a wide range of competitive and flexible benefits designed to help you improve your health and well-being, finances, and lifestyle. 

As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming and inclusive work environment. You will be empowered to drive HSBC's engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You'll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future

Your final fixed pay offer will depend on the candidate and several variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location.

All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.