AVP Market Surveillance - Financial Services Firm

  • 70K + Discretionary Bonus
  • Hong Kong
  • Permanent, Full time
  • Taylor Root Hong Kong , EA Licence No: 17S8475
  • 20 Apr 19

My client is one of the largest financial services firm in Asia. They are currently looking for an AVP Market Surveillance candidate to join their surveillance team.


  • Cover daily surveillance routines including management reports 
  • Handle surveillance on real time trading activities on a daily basis
  • Carry out surveillance reports and alerts from SMARTS system
  • Assist in discovering any new surveillance developments within the firm 
  • Report directly to the VP of the team and work alongside other team members

Requirements :

  • Bachelor of Finance, Economics, Law, Accounting or related disciplines
  • Sound knowledge of equities products
  • Open to candidates in trainee programs at investment banks 
  • At least 3-7  years of experiences in surveillance, equities compliance, and/or investment banking compliance
  • Must be proactive and diligent 
  • Fluent in English and Chinese
  • Less years of experience will be considered for Associate level