Associate - Market Surveillance & Monitoring
The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets. The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.
- Handle daily surveillance alerts and reports generated in SMARTS system for equities and derivatives products
- Carry out investigation resulting from surveillance alerts and/or dealing with referrals of suspicious behavior
- Conduct monitoring of large open position and position limit of HKEX derivatives products
- Assist in market surveillance-related projects and system enhancements
- Perform UAT and implementation of surveillance systems
- Undertake any other responsibilities and projects as assigned
- University degree in Computer Sciences, Accounting, Finance, Business Administration or related disciplines.
- Good knowledge of the securities and derivatives markets. Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates and currencies is 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 (e.g. VBA) is an advantage.
- Experience in using surveillance strategy or various surveillance exception reporting platforms (e.g. SMARTS) is an advantage
- At least 3 years' relevant working experience in well-established financial organisations.
- Work independently and be flexible to take on new responsibility or challenge
- Able to multitask, prioritize and meet deadlines§ Solid analytical skills to handle large data set with strong attention to details.
- Good collaboration skills on dealing with other departments, especially with IT or front office.
- Previous Front Office role, Risk Management, Front Office IT or Middle Office with knowledge from front to back trade processing flows and systems would be advantageous.
- Good command of written and spoken English and Chinese (Cantonese and Mandarin)
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.