Trade Surveillance Specialist (Manager)

Main Responsibilities

• Perform real-time and post-trade control through trade surveillance system.
• Perform surveillance of electronic communications.
• Liaising with vendor and Compliance to build-up and develop the trade surveillance monitoring system.
• Partner with Business and Compliance to establish the regulatory controls, governance framework and methodology is effectively in place to manage the risk of business.
• Monitor and identify internal breaches / control weaknesses and conduct investigations.
• Keep the effective trade surveillance including handling of prompted alert and parameter calibration from the surveillance system.
• Provide recommendations for process improvements and enhancements to optimize post-trade monitoring activities.
• Prepare documentation to report and escalate to senior management any issues and exceptions highlighted.
• Undertake any ad-hoc assignments and other administrative duties as required.

Requirements

• University graduated in Finance or relevant disciplines.
• Minimum 3 years working experience in compliance or related field with relevant skills.
• Experienced in using SMARTS or recognized system is a big advantage.
• Good understanding in trade surveillance monitoring and operational procedures.
• Independent, self-motivated and able to work under pressure.
• Good communication and interpersonal skills.
• Fluent in English and Putonghua.
• Proficient computer knowledge including MS Office.