3 months ago
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.
- 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
- 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