Compliance Officer - Surveillance - Global Banking and Markets
HSBC - New York, NY

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Make the Right Move and join a winning team! Build your career with us. HSBC - North America is part of HSBC Group, one of the largest banking and financial services organizations in the world. Our domestic strength and extensive global network provides our employees with the best of both worlds - the friendliness of a local organization and the resources of a worldwide network - for diverse experiences and challenging career opportunities.

Overall Summary of the Job:
To provide compliance support, advice and guidance to various businesses within the GBM and Wealth Management (WMGMT) businesses as it relates to the surveillance and monitoring function within Compliance.

To discharge Compliance Officer accountabilities by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators. General areas include monitoring and surveillance of business activities and contributing to drafting and revising policies and procedures. Foster a positive culture of compliance by working proactively with the business and other compliance professionals to ensure that best practices and systems are in place to facilitate the growth of the GMB &Wealth Management business and the overall success of HSBC in accordance with applicable laws, rules, regulations and internal policy.

Primary Responsibilities/Essential Functions:
·

Provide comprehensive surveillance support to GMB and WMGMT including trend analysis, communications and recommendations to senior management

·

Monitor GBM and WMGMT account activity for potentially inappropriate trading patterns including mutual fund switching, 1035 Exchanges, unsuitable transactions, active accounts, Blue Sky violations, etc.

Monitor activities of GMB and WMGMT areas to ensure compliance with applicable internal policies and procedures and external regulations

·

Review surveillance reports and maintenance of electronic surveillance tools (i.e. Actimize and Email Examiner)

·

Collect and analyze data in order to support and facilitate regulatory and Internal Audit requests. MIS reporting to Compliance and Business Management

·

Maintain good working relationship with business, internal control and senior management stakeholders

·

Assist in developing and drafting written policies and procedures to ensure that proper internal controls are in place

·

Recommend appropriate action based upon assessment of risk

·

Assist in responding to general compliance related questions from field

·

Complete other related duties as assigned.

Support the Company’s Diversity programs

Decision-Making Responsibility:
·

Sets priorities and makes day-to-day decisions independently.

Escalates matters to senior management as needed.

The incumbent should be hands-on with both business products and regulatory requirements in-order to be able to make independent decisions on matters of escalation on a day-day basis

Qualifications

Knowledge and Skill Requirements:
·

Five years broker-dealer Compliance experience

·

Strong written, verbal communication and presentation skills

·

Proficient in Microsoft Office (Word, Excel, PowerPoint and Access)

·

Strong analytical skills

·

Strong organizational skills

·

Ability to meet deadlines

·

Proactive and independent

·

Series 7, 9, 10 and 24 preferred

Job Field

:

Legal & Compliance

Primary Location

:

North America-United States-New York-New York

Schedule

:

Full-time

Shift

:

Day Job

Job Posting

:

23-Apr-2013, 05:00:00

Unposting Date

:

22-Jun-2013, 04:59:00

HSBC - 18 months ago - save job
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About this company
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HSBC Bank Canada is a banking and financial services company. It has three segments: Personal Financial Services, Commercial Banking and...