HSBC
UK Floor Surveillance Officer Equities
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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 an exciting new direction, we offer opportunities, support and rewards that will take you further.
We’re one of the largest banking and financial services organisations in the world, with a network that covers more than 50 countries and territories. We aim to be where the growth is, enabling businesses to thrive and economies to prosper, and, ultimately, helping people fulfil their hopes and realise their ambitions.
We’re currently seeking an experienced professional to join our team in the role of UK Floor Surveillance Officer - Equities (London preferred; Sheffield, Birmingham or Edinburgh also available).
You’ll be on the front line of protecting market integrity, joining a London-based team of specialists monitoring for market abuse within HSBC’s non-ring-fenced bank. Operating independently from the business and supported by analysts who complete initial analysis of surveillance outputs, you’ll act as a key pivot point in the alert disposition process - responsible for the review and disposition of escalated alerts in line with local regulatory requirements. When potential risk is identified, you’ll validate and investigate it, then drive the right outcome by escalating to the appropriate next level or filing a report with the FCA. This role is suited to a surveillance practitioner with a strong understanding of equities markets, and the full range of equities products and services.
As an HSBC employee in the UK, you’ll have access to tailored professional development opportunities and a competitive pay and benefits package. This includes private healthcare for all UK-based employees, enhanced maternity and adoption pay and support when you return to work, and a contributory pension scheme with a generous employer contribution.
In this role you’ll:
- Review and disposition escalated surveillance alerts in line with local regulatory requirements, through to closure or further escalation.
- Validate and investigate potential market abuse risks, producing clear case narratives supported by robust analysis.
- Oversee onward escalations in conjunction with the relevant RC Risk Steward, representing Surveillance’s assessment and recommended actions.
- Review and draft regulatory filings (STORs) and participate in STOR evaluation, presenting where necessary.
- Mentor analysts in HSBC’s Centres of Excellence who conduct initial review of alerts, providing investigative leadership and guidance across complex systems and booking models, and giving effective feedback on review quality.
- Drive continuous improvement in Surveillance by conducting Quality Assurance of alerts within an established framework, and identifying potential efficiencies and enhancements in detection processes.
- Represent Surveillance in business governance forums, advising business heads on risks detected and providing insight into casework.
- Assess Market Abuse risks faced by the business and align views with the Risk Steward and Risk Owner.
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To be successful in this role you should meet the following requirements:
- A strong understanding of equities markets, equities products (including derivatives) and HSBC’s equities business.
- A developed knowledge of Market Abuse, its typologies and variants, as well as applicable regulations.
- Ability to navigate complex systems and booking models to reconstruct activity and understand intent.
- Demonstrable investigative capability: able to develop leads, follow evidence, validate findings, and reach sound, defensible conclusions.
- Experience of conducting surveillance of wholesale financial markets.
- Experience contributing to and/or drafting STORs, with strong attention to regulatory expectations and documentation standards.
- Confidence operating independently from the business, with the judgement to escalate appropriately and proportionately.
- Experience mentoring, coaching, or quality-checking others’ work (including QA activity) to improve investigative outcomes.
- Strong stakeholder management skills, able to communicate clearly with Risk Stewards, and senior business leaders.
- Strong prioritisation skills, able to manage multiple cases while maintaining quality and pace.
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Opening up a world of opportunity.
Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world – for our customers, our people, our investors, our communities and the planet we all share.
As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming and inclusive work environment. You will be empowered to drive HSBC’s engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You’ll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future!
All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.
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