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Assistant Manager Trade SurveillanceMorgan McKinley
Assistant Manager Trade SurveillanceMorgan McKinley
Job Highlights
  • Open to new challenges
  • Strong understanding of equity capital markets
  • Join a dynamic team
Job Description

Our client is a leading international bank who is currently building out the compliance function. They currently seek an individual to join the trade surveillance team focusing on equity capital markets.


  • Conduct real-time and post-trade surveillance on equities and derivatives products using daily surveillance reports and alerts
  • Drive investigations on breaches of rules and requirements by market participants and follow up on their rectification measures
  • Lead and roll out any new compliance plans and process changes due to updates in regulations including expanding on the surveillance risk models
  • Patriciate on global and regional projects to improve efficiency, including develop, review and maintain internal policies and procedures
  • Work with Sales and Trading function to resolve any compliance issues and mitigate risk to the firm


  • University graduate in finance, accounting, law or equivalent qualifications
  • At least 4 years of relevant experience in monitory and surveillance of capital markets products
  • Strong understanding of risks and controls for equity and equity derivative products
  • Understanding of APAC regulatory environment with exposure of regulations for the HKMA and SFC
  • Excellent communication skills, able to influence and work effectively across functions
  • Detail oriented and strong analytical and problem solving skills
  • Self-starter and take a proactive approach
  • Strong computer skills and good working knowledge of market data and due diligence platforms lie Bloomberg and Reuters
  • Fluent English and business level Cantonese or Mandarin is preferred
Additional Information
Career Level
Years of Experience
4 years
Employment Type
Full Time, Permanent
Company details

As a global professional recruitment consultancy,Morgan McKinley connects specialist talent with leading employers across multiple industries and disciplines. We have established ourselves as a preferred supplier to many of the major players in our specialist sectors, as well as with thousands of smaller local employers. Today, a worldwide network of offices and an international candidate management system offers our clients and candidates the best talent and opportunities from all corners of the globe. In Hong Kong, we supply contingent and retained recruitment solutions for permanent and contract roles within the following sectors:

Accounting & Finance
Banking and Financial Services
Human Resources
Risk, Compliance, Legal & Audit
Office Support
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