TML1 Associate, GSC's TML1 Associate, GSC's …

HSBC
in Selangor, Malaysia
Permanent, Full time
Be the first to apply
Competitive
HSBC
in Selangor, Malaysia
Permanent, Full time
Be the first to apply
Competitive
TML1 Associate, GSC's
Guidance notes:

This job profile provides a broad overview of the Job Category TM Associate and is not intended to exhaustively describe the job.

Job Profile:

  • The primary role of the Transaction Monitoring Executive is to rapidly disposition alerts via a preliminary review to filter alerts that can readily be negated (i.e. obviously show no signs of anomalous behaviour).
  • The Analyst seeks to validate the usefulness of the alert and primarily utilizes internal system data sources to establish whether the anomalous behaviour can be allayed. If it can, the alert/case will be closed, if not the alert/case will be passed to a Level 2 for detailed investigation utilizing all internal and external sources available.
  • At level 2, the Analyst utilize all the sources systems availble both internal and external by performing enhanced analysis to mitigate the risk. Basis the investigation, the alert/case can either be closed at Level 2 or will be escalated to External Investigation team (EIR).
  • The findings must be summarized in a clear and concise manner with evidences at both the levels of investigations and thus ensuring that the work is completed in accordance with established procedures and standards.


Control and Conduct Statements - for internal use only.
Not for use in external recruitment media
Control
All staff are responsible for ensuring the effectiveness of the controls that are in place to manage the risks in the processes and activities that they undertake in their day to day role.
Conduct
Management of conduct is a critical component of all our business activities including, for example, the Group's strategy and business models, our culture and behaviours, our interaction with customers, our financial markets operations, and our governance and oversight processes. HSBC's approach to conduct is designed to ensure we deliver fair outcomes for our customers and do not disrupt the orderly and transparent operation of financial markets.

Focus on conduct is integral to HSBC's values and principles, and supports the Group's strategy for sustainable growth and streamlining of business processes and procedures.

HSBC has defined the Global Outcomes relating to Conduct which must be delivered by Global Lines of Business, HOST and the Global Functions. The 15 Global Outcomes are located within the document in this link:
Global Risk FIM / Regulatory Compliance / B.25 Global Conduct Policy
Whilst all 15 Global Outcomes apply across the organisation, there are more dominant or relevant Outcomes which relate to specific roles. Below is an indicative guide to show which Outcomes are more likely to apply to this job description. All roles within the organisation should adhere to the Outcomes and the local regulatory standards and requirements relating to the markets in which they operate. It is mandatory that the conduct outcomes are included in the profiles and must not be amended.

Conduct Statement
Applicable
Strategy & Business Models
1. Our strategy, business models, and the decisions we make deliver fair treatment of customers and do not disrupt market integrity

No
Culture & Behaviours
2. Our culture supports our people and empowers them to consistently do the right thing for our customers and markets in which we operate
Yes
3. Our people are competent and committed to the fair treatment of customers and not disrupting the integrity of markets
Yes
4. We are open to challenge, we acknowledge when things go wrong, we fix things and we learn from our mistakes
Yes
5. We reward and incentivise performance, behaviours and attitudes which deliver the fair treatment of customers and uphold market integrity
No
Customer
6. We know our customers and understand their needs-we actively listen to them and ask the right questions
No
7. Our products are designed to meet the different needs of our customers, to be competitive and to be understandable
No
8. Our products and services provide a balanced exchange of value between HSBC and our customers
No
9. Throughout our sales and servicing we are efficient, transparent and customer focused
No
Markets
10. We manage our products and services so that our customers' experience is in line with the expectations we set
No
11. We seek to prevent and will proactively identify actions and behaviours that constitute market misconduct, and respond appropriately
Yes
12. Trades are executed in a timely, clear and controlled manner ensuring that optimal execution is achieved for our customers and that HSBC trades are not manipulative
No
13. We manage conflicts of interest and appropriately handle information to reduce the opportunity for misuse
Yes
Governance & Oversight
14. Our governance framework provides effective oversight of how we fairly treat customers and uphold market integrity
Yes
15. We engage with regulatory bodies in a timely, open and transparent manner
No

Qualifications

Guidance notes:

This job profile provides a broad overview of the Job Category TM Associate and is not intended to exhaustively describe the job.

Job Profile:

  • The primary role of the Transaction Monitoring Executive is to rapidly disposition alerts via a preliminary review to filter alerts that can readily be negated (i.e. obviously show no signs of anomalous behaviour).
  • The Analyst seeks to validate the usefulness of the alert and primarily utilizes internal system data sources to establish whether the anomalous behaviour can be allayed. If it can, the alert/case will be closed, if not the alert/case will be passed to a Level 2 for detailed investigation utilizing all internal and external sources available.
  • At level 2, the Analyst utilize all the sources systems availble both internal and external by performing enhanced analysis to mitigate the risk. Basis the investigation, the alert/case can either be closed at Level 2 or will be escalated to External Investigation team (EIR).
  • The findings must be summarized in a clear and concise manner with evidences at both the levels of investigations and thus ensuring that the work is completed in accordance with established procedures and standards.


Control and Conduct Statements - for internal use only.
Not for use in external recruitment media
Control
All staff are responsible for ensuring the effectiveness of the controls that are in place to manage the risks in the processes and activities that they undertake in their day to day role.
Conduct
Management of conduct is a critical component of all our business activities including, for example, the Group's strategy and business models, our culture and behaviours, our interaction with customers, our financial markets operations, and our governance and oversight processes. HSBC's approach to conduct is designed to ensure we deliver fair outcomes for our customers and do not disrupt the orderly and transparent operation of financial markets.

Focus on conduct is integral to HSBC's values and principles, and supports the Group's strategy for sustainable growth and streamlining of business processes and procedures.

HSBC has defined the Global Outcomes relating to Conduct which must be delivered by Global Lines of Business, HOST and the Global Functions. The 15 Global Outcomes are located within the document in this link:
Global Risk FIM / Regulatory Compliance / B.25 Global Conduct Policy
Whilst all 15 Global Outcomes apply across the organisation, there are more dominant or relevant Outcomes which relate to specific roles. Below is an indicative guide to show which Outcomes are more likely to apply to this job description. All roles within the organisation should adhere to the Outcomes and the local regulatory standards and requirements relating to the markets in which they operate. It is mandatory that the conduct outcomes are included in the profiles and must not be amended.

Conduct Statement
Applicable
Strategy & Business Models
1. Our strategy, business models, and the decisions we make deliver fair treatment of customers and do not disrupt market integrity

No
Culture & Behaviours
2. Our culture supports our people and empowers them to consistently do the right thing for our customers and markets in which we operate
Yes
3. Our people are competent and committed to the fair treatment of customers and not disrupting the integrity of markets
Yes
4. We are open to challenge, we acknowledge when things go wrong, we fix things and we learn from our mistakes
Yes
5. We reward and incentivise performance, behaviours and attitudes which deliver the fair treatment of customers and uphold market integrity
No
Customer
6. We know our customers and understand their needs-we actively listen to them and ask the right questions
No
7. Our products are designed to meet the different needs of our customers, to be competitive and to be understandable
No
8. Our products and services provide a balanced exchange of value between HSBC and our customers
No
9. Throughout our sales and servicing we are efficient, transparent and customer focused
No
Markets
10. We manage our products and services so that our customers' experience is in line with the expectations we set
No
11. We seek to prevent and will proactively identify actions and behaviours that constitute market misconduct, and respond appropriately
Yes
12. Trades are executed in a timely, clear and controlled manner ensuring that optimal execution is achieved for our customers and that HSBC trades are not manipulative
No
13. We manage conflicts of interest and appropriately handle information to reduce the opportunity for misuse
Yes
Governance & Oversight
14. Our governance framework provides effective oversight of how we fairly treat customers and uphold market integrity
Yes
15. We engage with regulatory bodies in a timely, open and transparent manner
No

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