Responsibilities:
Provide support on the monitoring of all post trade market abuse and market conduct risks that are following rules and regulations
Responsible for the oversight of surveillance activities, investigations of fraudulent activities of clients and their trading patterns
Monitor using the SMARTS system
Responsible for providing regular reporting necessary to the business and risk control functions as well as to the compliance team
Ensure compliance with all regulatory requirements and internal policies
Provide ad hoc duties when needed
Qualifications:
Degree holder in Finance, Business Administration or related fields
Minimum of 5 years of experience in market surveillance, trading risks, and or compliance
Strong understanding trading procedures and processes and regulations of Hong Kong markets
Good command of spoken and written English