Head of Unauthorised Trading and Surveillance Risk Stewardship
Brand: HSBC
Area of Interest: Risk and Compliance
Location: London, GB, E14 5HQ
Work style: Hybrid Worker
Date: 10 Apr 2025
Head of Unauthorised Trading and Surveillance Stewardship
Some careers shine brighter than others. If you’re 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 simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.
Our Risk and Compliance function has a critical role to play in supporting, challenging and advising across all areas of the business through establishing policy, monitoring profiles, and identifying and managing forward-looking risk and compliance. We focus on creating an environment that encourages our people to speak up and do the right thing, as well as protecting our customers, the organisation and the integrity of the financial markets in which we operate. Already an industry-leader in many respects, we want to continue setting standards and evolving to respond to strategic changes.
Markets and Securities Services Regulatory Compliance is hiring a Head of Unauthorised Trading and Surveillance Risk Stewardship. This is a senior lead role that will form part of the Global and Regional Compliance team that provides independent oversight and challenge of risk management practices. The successful candidate will apply Surveillance stewardship and Unauthorised Trading Risk experience within the second line of defence to obtain assurance that HSBC are operating in line with relevant laws and regulations.
In this role you will:
1. Act as the lead Surveillance Risk Steward and Global Unauthorised Trading Risk SME for Markets and Securities Services Compliance, leading themselves and the team to drive the global and regional approach in challenge, guidance, support and interpretation to the first line Global Markets and Securities Services businesses, and relevant Control Owners.
2. Proactively co-ordinate with other compliance teams to ensure a consistent best practice approach.
3. Partner with regulatory change and other regulatory SMEs to understand new and revised regulatory requirements, codes of practice to ensure changes and impacts are disseminated to the appropriate businesses and functions.
4. Have thorough knowledge of relevant regulation, including Market Abuse and will stay abreast of regulatory developments and anticipating changes to ensure accuracy of advice provided to the business.
To be successful in this role you should meet the following requirements:
1. Prior experience in Markets and Securities Services Compliance within a 1st or 2nd line of defence position. Including knowledge of products and processes front-to-back.
2. Prior experience of control frameworks relevant to Unauthorised Trading, Trade surveillance, E-comms surveillance, and A-comms surveillance.
3. Demonstrate thorough knowledge of Market Abuse regulation and its application to Markets and Securities Services Compliance.
4. Thorough ability to look out for areas of improvement with proven ability to scrutinise operational risk events related to Surveillance and Unauthorised Trading.
5. Work across all levels of the organisation to understand cross-functional linkages and interdependencies, as well as the implications of Compliance risk at both a strategic level and at the business unit level.
6. A keen interest in staying updated on the regulatory landscape.
This role is based in London / Hybrid.
Opening up a world of opportunity. We believe that being open to a range of perspectives and cultures is vital for our business. We work hard to ensure our diverse and inclusive workplace reflects the communities we serve. We want everyone to achieve their potential – regardless of their gender, ethnicity, disability, religion, sexual orientation or age. If you have a different way of seeing the world, we are interested in hearing from you.
HSBC is committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We are proud members of the Disability Confident Scheme, and will offer an interview to disabled candidates who meet the minimum criteria for the role.
If you would like to receive any information in a different way or would like us to do anything differently to help you apply for our roles, please contact our Recruitment Helpdesk:
Email:
Telephone: +44 2078328500.
Within the workplace you will have access to various employee resource groups which aim to promote and achieve a healthy work / life balance and support our diversity ambitions. HSBC has processes in place to avoid nepotism. This means we will avoid circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
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