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Assistant Director, Surveillance - ComplianceHaitong International Management Services Company Limited
Assistant Director, Surveillance - ComplianceHaitong International Management Services Company Limited

Job Highlights

  • Surveillance - Compliance
  • Regulatory or exchange enquiries and investigation
  • Knowledgeable in surveillance systems

Job Description

The Job:

  • Lead the design and delivery of a robust trade and communications surveillance framework
  • Review trade surveillance solutions and systems
  • Ensure processes and procedures are communicated
  • Take ownership of and develop the surveillance infrastructure
  • Coordinate the internal investigation and escalation of potential issues and documenting appropriate actions and regulatory notifications
  • Assist in regulatory or exchange enquiries and investigations
  • Manage the assessment of evidence to support escalation or closure of investigations
  • Support the completion of Suspicious Transaction Order Reporting (STOR) filings
  • Provision of periodic management information and performance and risk metrics
  • Oversee, develop and guide team members

Requirements:

We support local hire with solid relevant working experience in HK.

  • Previous experience of developing, documenting and implementing trade and communications surveillance programmes
  • Previous experience of communicating with exchanges and regulators
  • Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing to support functions, front office staff and management teams
  • Previous experience of using trade and communications surveillance systems
  • Ability to identify the key market abuse risks in the area subject to testing and to think creatively about how these risks might manifest in practice
  • Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions)
  • Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in the business units and control functions
  • Attention to detail and proactive
  • Confidence to use own initiative and apply judgment in an in-house context
  • Ability to manage delivery and prioritize work streams
  • Ability to be effective under pressure
  • Good presentation and report writing skills
  • Enthusiasm and aspiration to learn and develop

We are committed to build a team of competence individuals who have acquired relevant local solid working experience and with diversified exposure to work together with us. Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.

We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; iii) by getting application method through the Job Opportunities Section of our Corporate website: www.htisec.com; or iv) by using "APPLY NOW".

Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.

Additional Information

Career Level
Not Specified
Qualification
Not Specified
Years of Experience
Not Specified
Employment Type
Full Time, Permanent
Company Website

Company Overview

Haitong International Securities Group Limited (“Haitong International”: Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China.

Haitong International is well-established to provide comprehensive and quality corporate finance, wealth management, asset management, fixed income, currency and commodities (FICC), institutional equities and a full spectrum of financial products and services to institutional clients and individual investors domestically and around the globe. As one of the most important overseas business platform of Haitong Securities, the Group strives to be a modern and comprehensive financial institution with leading position in the Greater China Region. 

The Company is led by a team of passionate and energetic professionals, we regard our staff the most treasurable asset and have been providing the best nurture and career prospect to any talents. We now invite high calibre candidates to join us.

Additional Company Information