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Senior Associate - Trade SurveillanceMorgan McKinley
  • Others
  • HK$35,000 - 45,000 /month (negotiable)
  • Posted on 14 May 2019
Senior Associate - Trade SurveillanceMorgan McKinley
Job Highlights
  • Good Career Prospects
  • Must have working knowledge of equity products
  • Join a growing business
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 process improvement.


  • Review internal processes for the trade surveillance function made recommendations on how to improve process to mitigate risk and meet regulatory requirements
  • Work closely with other compliance assurance teams to ensure consistency and general initiatives/requirements are established
  • Project manage any process role outs and ensure timelines are met
  • Lead any internal audits and onsite inspections by regulators
  • Be able to document and analyst any gaps for the trade surveillance function and made the appropriate recommendations


  • University graduate in finance, accounting, law or equivalent qualifications
  • At least 3 years of relevant experience in monitory and surveillance of capital markets products
  • Good understanding of capital markets in particular equity products
  • Track record in compliance and process testing
  • Strong written skills and able to communicate well with key stake holders
  • Hands on exposure to HKIMA and SFC regulations
  • Strong attention to detail, able to multi-task and manager projects
  • Confident and able to work independently
  • Fluent English and Chinese is preferred

Additional Information
Career Level
Years of Experience
3 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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