Associate - Market Surveillance & Monitoring Associate - Market Surveillance & Monitoring …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Be the first to apply
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.

Job Responsibilities:
  • 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.
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