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Securities - Trade Surveillance Officer (13-months salary)

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


My client is a top-tier Chinese securities firm. They are looking for a transaction monitoring officer with a minimum of 1-2 years of compliance and/or trade surveillance experience. A good understanding of trade surveillance systems, a wide variety of financial instrument types, and SFC regulatory requirements are a plus.

My client offers a competitive package with a guaranteed 13 monthly salary with a discretionary bonus. It would be a great opportunity to gain management experience.


Responsibilities :

  • Handle daily surveillance alerts and conduct investigation on compliance and red flags reported by the surveillance system 
  • Response to enquiries and report suspicious cases to external regulators, including but not limited to SFC, HKEX and other law enforcement units
  • Analyze trading patterns by the trade surveillance tools and systems
  • Assist in the construction of market abuse risk analysis
  • Analyze, maintain and improve the changes to the trade surveillance system
  • Collaborate with IT team and perform UAT


Requirements :

  • Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
  • Minimum 1-2 years of compliance and/or trade surveillance experience
  • Sound knowledge of trade surveillance systems, programming language and well versed with VBA/Python programming skills
  • Good understanding of a wide variety of financial instrument types
  • Good understanding of SFC code of conduct, guidelines, and regulatory requirements;
  • Good command in both in Chinese and English, proficiency in Mandarin is a plus


For interested parties, please contact Winifred at +852 2777 6277 or for further discussions.