- Effective and timely management of daily surveillance alerts and reports generated in SMARTS system for equities and derivatives products
- Carry out market abuse investigation resulting from surveillance alerts and/or dealing referrals of suspicious behavior
- Produce surveillance statistics and analysis for routine and ad-hoc reporting to management
- Lead, manage and participate in market surveillance projects (e.g. surveillance system enhancement) and special projects owned by other divisions
- Involvement with compiling, reviewing and maintaining internal policies and procedures to high standard
- Communicate and interact with exchange participant, regulator, external vendor and other internal teams within area of responsibility
- University degree in Business Administration, Finance, Engineering or related disciplines.
- At least 6 years' of experience in a previous Compliance surveillance or monitoring role in well-established financial organizations
- Experience in using surveillance strategy or various surveillance exception reporting platforms (e.g. SMARTS) is an advantage
- Understanding of HKEx trading rules and trading systems is mandatory
- Work independently to make certain decisions and be flexible to take on new responsibility or challenge
- Able to multitask, prioritize and meet deadlines
- Good collaboration skills on dealing with other departments, especially with IT or front office
- Strong analytical skills to handle large data set (e.g. trading records) using MS Excel, MS Access and other similar applications, with strong attention to details.
- Knowledge of using industry wide systems (e.g. Bloomberg, Reuters) is an advantage
- Experience in dealing with regulators and Mainland exchanges/clearing houses is an advantage
- Previous Front Office role, Risk Management, Front Office IT or Middle Office with knowledge from front to back trade processing flows and systems would be advantageous
- Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates and currencies
- Good understanding of the current market abuse regime and the forthcoming regulatory changes
- Good command of written and spoken English and Chinese, solid communication and presentation skills
Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.