Senior Office / Assistant Manager (trade surveillance)

Job Responsibilities

• Perform trade surveillance and undertake investigations into any suspicious transactions reported.

• Implement effective AML/FCC related policies and procedures to manage the financial crime risks

• Work closely with internal stakeholders to conduct trading surveillance and money laundering prevention, and provide advice to all business and operational units

• Assist in preparing figures and managing reporting to senior management and regulators regarding trading surveillance and financial crime related matters

• Support AML/FCC related projects

• Support ad-hoc tasks as assigned by supervisor

Job Requirements

• Degree holder in Business, Finance, Law or other related disciplines preferred

• Holder of CAMLP/AAMLP/CAMS certification, CFE certification is a plus

• With 4-5 years of trade surveillance and/or market abuse investigation experience in brokerage companies/regulator will be considered a higher position.

• Self-motivated, independent and ability to work with colleagues in different functions and across all levels

• Strong analytical and communication skills with a thinking out of the box mindset

• Responsible and able to work under pressure

• Proficiency in written and spoken English, Cantonese, and Putonghua is a must