Manager- Surveillance Officer

Some careers open more doors than others.

If youre looking to unlock new job opportunities take a look at the possibilities right on your doorstep here at HSBC.

Business Descriptor:

Job Summary

We are looking for Surveillance and Compliance Analyst with expertise in client screening transaction monitoring and STR filing well versed with PMLA guidelines regulatory filings internal controls handling regulatory inspection drafting policies managing customer complaints etc.

Core Responsibilities & Duties

• Monitoring and closure of regulatory internal and PMLA alerts in compliance with SEBI and Stock Exchange (NSE/BSE) regulations.
• Client screening against various sanction lists.
• Preparation and submission of quarterly MIS Surveillance reports to regulators.
• Co-ordinating with various regulators and handling offsite Inspections of SEBI and Exchanges (NSE & BSE).
• Implement and oversee Anti-Money Laundering (AML) and Know Your Customer (KYC) policies.
• Monitor regulatory developments and implement necessary changes in policies process and controls.
• Draft and implement Standard Operating Procedures (SOP) as per regulatory requirements.

Mandatory Qualifications & Eligibility

Education:Bachelors degree in commerce Law etc. or Postgraduate in Capital Market.

Experience:

• 6-15 yearsof overall experience in stock broking compliance and surveillance role.

• Minimum 4 yearsof hands-on experience in handling regulatory transactional alerts and compliance submissions.

Domain Knowledge:

• Strong understanding of the SEBI Stock-Broker Regulations Intermediaries Regulations and Prevention of Money Laundering Act (PMLA).

• Knowledge of all Exchange Member Portals Surveillance Portals and FIU portal.

Preferred Skills & Competencies

• Strong analytical skills and ability to implement the regulatory changes.

• Integrity and ability to handle sensitive information with confidentiality.

• Excellent communications skills and proficiency in managing Surveillance software.

• Experience in dealing with various regulators and stakeholders.

Certifications:

• NISM Staff handling KYC AML KYC and Customer Due Diligence.
• NISM Staff handling Transaction Monitoring AML Transaction Monitoring and Suspicious Transaction Reporting.

Soft Skills:

• Ability to notice unusual patterns inconsistencies or suspicious activities that others might overlook.

• Evaluating information objectively and drawing logical conclusions.

Eligibility Criteria

• HISL employees will be eligible to apply to this role after completion of 12 months in the current role/position at the time of application on level transfer and/or promotion.
• Entity Employees (not from HISL) to be guided by their internal policy on tenure completion in current role at the time of application before applying and share line manager approval once shortlisted.

Pro-tip : Familiarity with AI-enabled tools is an advantage.

Youll achieve more at HSBC.

HSBC is 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 environment.

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 The Hongkong and Shanghai Banking Corporation Limited India