HRO Personnel is a Human Resources service provider operating under numer 6696. We are working as a recruitment provider searching on our Client's behalf for a person in the following role:
Analyst, Regulatory Compliance Operations (French and Spanish)
Global regulators have an increasing expectation that firms have adequate systems and controls to conduct surveillance against, among others, market abuse offences such as Insider Dealing, Market Manipulation and Dissemination.
The Analyst, undertakes daily first level regulatory compliance surveillance and monitoring services based on a pre-defined program across the Firm's business divisions within EMEA and other locations where permissible. The role is based within the Global Service Centre (GSC), in support of the Markets Regulatory Compliance Conduct Surveillance & Analytics (CSA) team and as part of RC Operations. The services managed cover first level alert review, to detect potential cases of untoward activities or behavior that may be inappropriate and damage the Firm's reputation, possible violations of regulatory rules, industry standards and firm policies. The team objective is to ensure that all alerts are satisfactorily escalated or closed as benign. The incumbent will be required to keep abreast of industry and regulatory changes.
Key Accountabilities:
- To work seamlessly with the on-shore global markets and banking business and understand unusual communication and trading behavior,
- Ability to work with CSA colleagues who are based in overseas and contribute to global improvements in surveillance,
- Supporting the growth and expansion of these critical and time sensitive services across all Global Business Lines in multiple countries,
- Contributing to the growth and development of the RC Operations team,
- Undertakes independent Surveillance and Monitoring in order to obtain assurance that the businesses are operating in line with relevant laws, regulations, codes and HSBC Group Standards,
- Reviewing alerts and eliminating alerts of no issue in a timely manner, Investigate and escalate potential issues as necessary and document the resolution and any corrective action taken,
- Ensure all follow ups are closed out in a timely manner and to a satisfactory conclusion,
- Maintain statistics and metrics for appropriate stakeholders, identify patterns and contribute to management reports for appropriate escalation of significant issues, accomplishments and forward looking risks,
- Ensures continuous and effective service to country compliance teams / Business Partners,
- Escalates potential regulatory and internal market misconduct breaches to Compliance Senior Management onshore,
- Contributes to relationship management meetings and maintains a close relationship with onshore partners,
- Works competently in their specific surveillance area, sharing own knowledge for the good of the team and openly learns from others,
- Works in a methodical manner and demonstrates an ability to support operational decisions or recommendations with sound reasoning,
- Keeps abreast of onshore developments and financial market trends,
- Produces accurate and in-depth Management Information (MI), trend analysis and narrative reports.
Required:
- Fluent English, French and Spanish is a must,
- Educated to degree level (preferable),
- Previous corporate experience (at least one year) is a must
- Proficient in Microsoft Office applications (Word, Excel, PowerPoint) and strong ability to learn new technology,
- Appropriate analytical skill to dissect key information and have a good eye for detail,
- Ability to work under pressure and within tight time-lines. Excellent time management and prioritisation of work tasks,
- Self-motivated, enthusiastic and proven rapid learning capability,
- Ability to use technological resources available for surveillance activities.
We offer:
- Stable job in professional team
- Interesting path of career in an international organization
- Consistent scope of responsibilities
- Private health care, employees’ benefits
Please add the following clause to the end of your submitted CV: “I hereby consent for HRO Recruitment, a brand of HRO Personnel Sp. z o.o. with their head office in Warsaw at Puławska 182, to use my personal details hereby submitted for their recruitment process (documenting and processing personal information and forwarding said information to their clients within the structure of the client’s recruitment projects) in accordance with the Law on Protection of Personal Data (Dz. U. 2002 r. Nr 101 poz. 926) until I submit a written withdrawal of consent. I confirm that I was informed of the right to modify, access and protect my personal information.”
