Chief Administrative Office – Surveillance Officer, Compliance – Associate/ Assistant Vice President Chief Administrative Office – Surveillance  …

Deutsche Bank
in Hong Kong
Permanent, Full time
Be the first to apply
NA
Deutsche Bank
in Hong Kong
Permanent, Full time
Be the first to apply
NA
Posted by:
Vijayadurga Poreddy • Recruiter
Posted by:
Vijayadurga Poreddy
Recruiter
Job Description Summary The Senior Regulatory Control Advisor is responsible for establishing and maintaining control frameworks designed to manage regulatory monitoring, surveillance, employee compliance, transaction monitoring and client screening. The Senior Regulatory Control Advisor implements operational processes of specific non-financial risks. The Senior Regulatory Control Advisor is in regular interaction with the front office where required as part of their process or in assisting with specific Level 1 control advice. The Senior Regulatory Control Advisor works with subject matter experts and other teams from across the function and proactively develops and maintains consultative working relationships with internal stakeholders.

Job Description

(Senior) Surveillance Officer, Compliance – AVP, Hong Kong 
Team Overview
In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Bangalore, Mumbai and Tokyo.  The Hong Kong team coverage includes Equities, Listed Derivatives, Fixed Income and FX products, in addition to Communication Surveillance.
The person in Hong Kong will represent the Surveillance functions with primary focus on surveillance monitoring and testing on Equities, Listed Derivatives, Fixed Income and FX products.
We are looking for high calibre candidate with strong quantitative background to help to make our surveillance platform become more sophisticated
Responsibilities
•    Focus on Trade Surveillance for APAC markets covering FX products
•    AM and WM Surveillance coverage
•    Support in Equities, Listed Derivatives, Fixed Income and Spot FX benchmark monitoring
•    Review alerts in Trade Surveillance systems (Smartsbroker & Actimize)
•    Participate in Communication and Trade Surveillance projects and UAT (user acceptance testing) of new Surveillance scenarios 
•    Review, investigate and escalate irregularities and abnormal activities
•    Ensure escalated cases are followed up and documentations are updated in a timely manner
•    Conduct QA (Quality Assurance) of reviewed Communication and Trade Surveillance alerts and ensure appropriate QA documentation
•    Provide training to and partner with the Bangalore team on surveillance matters
•    Create MI Reports on a periodic basis to senior management
•    Provide support on any ad hoc Communication and Trade Surveillance tasks and requests
•    Identify, investigate, recommend and help implement approaches for data analytics
•    Design data lake structure which could serve for multiple analytics demand
•    Develop various ad-hoc tools for data analytics and visualization
Requirements
Essential Skills & Competencies
•    Strong attention to detail, analytical skills and sound judgement
•    Ability to assimilate large amounts of data and have the focus to identify potential issues
•    Be able to multitask and work on multiple projects
•    Compliance and Regulatory awareness
•    Knowledge of applicable securities rules advantageous
•    Team player with ability to work independently
•    Proactive and enthusiastic
Work Experience
•    Ideally experience in banking with Equities, Listed Derivatives, Fixed Income and FX products background 
•    Experience in Surveillance and Compliance advantageous
•    Experience of Python, R, kdb/Q programming is a plus
•    Project and testing experience
Education
•    Degree level
Language Skills
•    English – fluency in spoken and written
•    Cantonese / Mandarin – fluency in spoken and written preferred
Technical Skills
•    Experience with using Surveillance tools (i.e. Actimize, Smartsbroker etc) and Bloomberg is a plus
•    Proficiency in MS Office and VBA programming
•    Knowledge in machine learning (in particular Deep Learning and Natural Language Processing), portfolio optimization, econometrics, etc., would be extremely valuable

Additional Job Description

Details of the Division and Team:

In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Bangalore, Mumbai and Tokyo. The Hong Kong team coverage includes Equities, Listed Derivatives, Fixed Income and FX products, in addition to Information Barrier and Communication Surveillance.

The person in Hong Kong will represent the Surveillance functions with primary focus on surveillance monitoring on Equities, Listed Derivatives, Fixed Income, FX products, Information Barrier and Communication Surveillance.

We are looking for high calibre candidate with strong quantitative background to help to make our surveillance platform become more sophisticated.

Your key responsibilities:

  • Focus on Trade Surveillance for APAC markets covering FX, Equities/LD and FI products
  • Review alerts in Trade Surveillance systems (Smartsbroker, EAP & Actimize)
  • Participate in Communication and Trade Surveillance projects and UAT (user acceptance testing) of new/enhanced Surveillance scenarios
  • Review, investigate and escalate irregularities and abnormal activities
  • Ensure escalated cases are followed up and documentations are updated in a timely manner
  • Conduct QA (Quality Assurance) of reviewed Communication and Trade Surveillance alerts and ensure appropriate QA documentation
  • Provide training to and partner with the Bangalore team on surveillance matters
  • Create MI Reports on a periodic basis to senior management
  • Provide support on any ad hoc Communication and Trade Surveillance tasks and requests
  • Identify, investigate, recommend and help implement approaches for data analytics
  • Develop various ad-hoc tools for data analytics and visualization 

Your skills and experience:

  • Degree level
  • Ideally experience in banking with Equities, Listed Derivatives, Fixed Income and FX products background
  • Experience in Surveillance and Compliance advantageous
  • Experience of Python, R, kdb/Q programming is a plus
  • Project and testing experience
  • Strong attention to detail, analytical skills and sound judgement
  • Ability to assimilate large amounts of data and have the focus to identify potential issues
  • Be able to multitask and work on multiple projects
  • Compliance and Regulatory awareness
  • Knowledge of applicable securities rules advantageous
  • Team player with ability to work independently
  • Proactive and enthusiastic
  • English – fluency in spoken and written
  • Cantonese / Mandarin – fluency in spoken and written preferred
  • Experience with using Surveillance tools (i.e. Actimize, Smartsbroker etc) and Bloomberg is a plus
  • Proficiency in MS Office and VBA programming
  • Knowledge in machine learning (in particular Deep Learning and Natural Language Processing), portfolio optimization, econometrics, etc., would be extremely valuable

 

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