Job Title: AVP
- Trade Surveillance
• The India Sub-Hub Surveillance team supports various entities and business lines across ASP region in carrying out surveillance controls and related activities.
• The team is responsible for conducting surveillance reviews of monitored employees of all lines of businesses to identify instances of potential market abuse and/or misconduct. You will play an integral role in the India sub-hub team as a part of the wider regional Surveillance team. Being a part of the team brings various opportunities to be in a fast paced, ever changing surveillance space in the banking industry. You can gain technical knowledge of products, acquire skills to identify potential market abuse behaviors and learn to effectively engage with stakeholders. The work environment promotes inclusiveness, flexibility and open culture where encourages collaboration and innovation. In this role, you will: Principal Accountabilities and Responsibilities (e.g., for Business, Customers and Stakeholders; internal control environment, etc.)
• Manage time critical and sensitive RC Surveillance issues arising from escalated surveillance cases.
• Identify and investigate potential regulatory & internal misconduct risks amongst the employees and associated functions.
• Operate and standardize surveillance tactical controls in line with the regional standards.
• Derive conclusions from own or team analysis, advising and making appropriate recommendations to Surveillance Senior Management in order to rectify issues identified.
• Partner with regional SMEs to understand new and revised regulatory requirements, codes of practice and thorough understanding of applicable products, ensuring surveillance is correctly positioned to satisfy regulatory requirements on market abuse and misconduct.
• Responsible for collaborating closely with Regional Surveillance leads to strengthening of the Surveillance footprint in ASP Sub-Hubs.
• Provide accurate, timely and meaningful MIs to the governance leads.
• Extend strategic support towards the development of surveillance controls to identify misconduct and market abuse,



including in the testing of next generation electronic communications systems.
• Further, devise delivery strategies for the Surveillance Lead in implementing the Target Operating Model in the India Sub-Hub.
• Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which you are involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy. Leadership & Teamwork
• S Lead by example, demonstrating core behaviors and values including teamwork, focus, drive and determination. Stay continuously engaged with the team to optimize their performance improvement areas and manage attrition. Be a role model for high Regulatory Compliance standards across the teams.
• Ensuring roll-out of training programes and continuous development initiatives, integrating new learnings as needed e.g. on new products and areas of monitoring such as Futures and Forex, SameTime, Reuters, social media monitoring.
• Proactively plan FTE requirements to manage the MAR and other critical rollouts, implementation and effectively handle recruitment needs, identifying resourcing strategies where appropriate to meet business needs e.g. cross training etc.
• Support relevant GSC RC Site Leads by participating in planned Leadership and Teamwork GSC initiatives.
• Ability to communicate effectively to senior management.
• Ability to multitask with a positive eye for detail. To be successful you will: Functional Knowledge
• Experience in a Surveillance or Compliance role is preferable, but not necessarily essential
• Knowledge of Financial markets and in particular,



financial market regulations and capital market products.
• A fair understanding of Market Abuse scenarios and ability to understand communications & trades for the detection of Market Abuse.
• A positive knowledge of Excel and Access with the ability to use macros to help solve non-standard problems.
• High standard of written documentation and accurate narration skills.
• Sound and proven judgment to manage (distribute difficult messages) surveillance issues.
• The ability to maintain ‘grip’ and attention to detail on multiple competing priorities and ensure delivery through self and through or with others. Others
• Ability to clearly articulate business and regulatory implications of analysis and findings
• Ability to act in a pressurized but supportive environment is critical.
• Any compliance certification
• Knowledge of regulatory norms around capital market
• Any experience in audit related work.
• Experience in trading or dealing in capital markets.
• Desire to pass on skills for the positive of the team and learn from other team members. Hsbc.
Com/Careers You’ll achieve more at HSBC HSBC is an equal opportunity employer 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 workplace. We encourage applications from all suitably qualified persons irrespective of, but not limited to, their gender or genetic information, sexual orientation, ethnicity, religion, social status, medical care leave requirements, political affiliation, people with disabilities, color, national origin, veteran status, etc., We consider all applications based on merit and suitability to the role.” 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 HSBC Electronic Data Processing (India) Private LTD*

📌 AVP - Trade Surveillance (Gurugram)
🏢 HSBC
📍 Gurugram