Assistant Vice President – Markets (Market Surveillance & Monitoring)

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Hong Kong Exchanges and Clearing Limited
  • 23 Apr 18 2018-04-23

The successful incumbents shall be:

Job Responsibilities: 

  • Responsible for real-time and post-trade surveillance on equities and derivatives products using daily surveillance reports and alerts
  • Perform due diligence check on different types of market participants’ applications, including registration as market makers, application for excess position limits, etc 
  • Conduct investigations on breaches of HKEX rules and requirements by market participants and follow up on their rectification measures 
  • Lead, manage and participate in market surveillance projects (e.g. surveillance system enhancement) and special projects owned by other divisions
  • Produce surveillance statistics and analysis for routine and ad-hoc reporting to management
  • Develop, review and maintain internal policies and procedures 
  • Communicate and interact with regulators, market participants and relevant internal departments 

Job Requirements:

  • University degree in Business Administration, Finance or related disciplines
  • Working knowledge of the securities and derivatives markets, especially large open position and position limit requirements in derivatives market, will be an added advantage, but not a must.
  • At least 6 years of relevant experience, preferably in well-established financial organisations
  • Experience in project management in various stages including planning, testing, implementation and monitoring an advantage
  • Hands-on experience in industry wide systems (e.g. Bloomberg, Reuters) and  Microsoft Office (including Word, Excel and PowerPoint) and knowledge of programming is an advantage
  • Strong communication and interpersonal skills
  • Strong analytical, problem solving and organization skills
  • Good command of written and spoken English and Chinese (Cantonese); proficiency in Putonghua an advantage

Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.  Personal data provided will only be used for the purpose of employment application to HKEX.