Associate - Markets (Market Surveillance & Monitoring)

  • Market
  • Hong Kong
  • Permanent, Full time
  • Hong Kong Exchanges and Clearing Limited
  • 15 Mar 19

Job Responsibilities:  * 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 * Handle routine surveillance management information reporting

Job Responsibilities: 

  • 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
  • Handle routine surveillance management information reporting
  • Assist in the development of new surveillances and the enhancement of existent ones, with particular emphasis on multi-product coverage that requires a close working relationship with our Trading divisions and Business development partners
  • Communicate and interact with exchange participant, regulator, external vendor and other internal teams within area of responsibility 

Requirements:

  • University degree in Business Administration, Finance, International Business or related disciplines. 
  • At least 3 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
  • 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