Monitoring and Surveillance Compliance Officer Monitoring and Surveillance Compliance Officer …

LMA Recruitment
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 22 Sep 19
84,000HKD+ BONUS
LMA Recruitment
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 22 Sep 19
84,000HKD+ BONUS
LMA Recruitment
Responsible for reviews on existing Surveillance models, conducting in depth investigations on trading activity and patterns, and refining and building trade surveillance models in accordance with and in anticipation of regulatory expectations and remediation plan The Monitoring and Surveillance teams play a critical role in working with the front (1st line of Defense) and supporting areas to perform investigations, when necessary, and to determine and coordinate corrective action. This position will assist in operationalizing the implementation plans to support undertakings made to various regulators specifically regarding the continuing evolution and enhancements of the Bank’s surveillance program across all asset classes.

Key Responsibilities

• Operationalize implementation plans and undertakings made to various regulators

• Conduct trade surveillance of Equities / Equities Derivatives / FI / FX business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action
• Analyze transaction activity detected, document findings, provide written explanations to the transaction detail, and conduct investigations into any issue that may arise during the course of analysis
• Interact with Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved and communicate issues in a proactive manner
• Raise matters of importance to Departmental Management for discussion, participate in Team meetings, conduct investigations into potentially violation and/or suspicious activity
• Escalate potentially serious issues and exception items noted during the review process to Management for discussion and further investigation if deemed necessary
• Assist with the development of new surveillances to cover new risk priorities
• Work on regional surveillance projects including system UAT, new models discussion, or system development
• Conduct or assist with ad-hoc investigations
• Assist with IG/Internal Audit and ad hoc regulatory requests



Technical & Behavioral Competencies

• University graduate with major in Accounting, Business Administration, Economics, Finance or Law or equivalent qualification

• At least 5 years’ compliance / Middle Office / Back Office experience, experience in monitoring and surveillance is preferred

• Experience or specialization in an asset class such as Equities / Equities Derivatives / FI / FX

• Strong knowledge of APAC market regulations, particularly in relation to Equities industry; preferably some exposure to rules and regulations of the HKMA, SFC

• Excellent interpersonal and communication skills, including writing, with the ability to interact effectively with front and back office staff and senior management

• High attention to details

• Strong analytical and investigative skills

• Ability to manage multi task, and handle multiple compliance reviews and projects at the same time and meet deadlines

• Proactive in identifying risks and proposing solutions


Specific Qualifications (if required)

• Exposure to trading desks, electronic trading market and securities industry strongly preferred

• Experience with surveillance and case management systems, such as NICE Actimize and SMARTS

• Strong computer skills including MS Office Suite; Excel, Bloomberg

• Familiarity with market data and due diligence vendors (Bloomberg, Reuters, etc.)

• Fluency in French or different Asian Languages is a plus 

Primary Location

HK-Hong Kong

Job Type

: Standard / Permanent



Education Level: Bachelor Degree or equivalent (>= 3 years)

Experience Level: At least 5 years

Company Reg no: 201131609D

EA Licence: 11C4684

EA Reg no: R1877280

Company Overview

Big enough to find the best.

Small enough to really know them.

It’s easy to get pompous about what we do. To name drop our global clients or wax lyrical about ‘pioneering psychometric testing’. But if you’re not careful, you lose sight of what’s really important; relationships and people.

Without relationships, you don’t truly understand the client, their business culture and who they really need. You miss the nuances of each candidate, the human behind the CV and what makes them tick. And the ‘right fit’ slowly starts to blister.

Since 1999, LMA has supplied great candidates to blue-chip businesses in London and Singapore. We draw on in-depth market intelligence and use industry-leading tools to search, screen and select. We have specialist consultants and a global network. And we’re professional beyond measure. 

But we never lose sight of what matters; how important the right people are to businesses, and the right careers are to people.