Senior Vice President – Markets (Market Surveillance and Monitoring) Senior Vice President – Markets (Market  …

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
Senior Vice President – Markets (Market Surveillance and Monitoring)
The Market Surveillance & Monitoring Department of the Markets Division 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 regulators and other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.
Job Responsibilities:
  • Oversees the effective functioning of the HKEX market surveillance team, covering the Hong Kong Cash and Derivatives markets and the China Stock Connect markets
  • Lead and conduct investigations into suspected breaches of HKEX rules and requirements in relation to market misconduct by market participants
  • Liaise with the Securities and Futures Commission on irregular market behaviors and other market regulatory issues
  • Closely follow latest regulatory development, assess and recommend as appropriate
  • Guide the review of trading / product / intra-structure related initiatives from market surveillance perspective
  • Drive initiatives to enhance the data analytics capabilities of the HKEX market surveillance function
  • Review qualitative and quantitative analysis to identify trends, give insights and present observations and findings to senior management
  • Provide guidance on the development of internal policies and procedures relevant to surveillance / enforcement workflow
  • Assist Department Head in enforcement and disciplinary related matters
  • Communicate and liaise with regulators, market participants and relevant internal stakeholders
Job Requirements:
  • University degree in Finance, Business Administration or related disciplines. Legal knowledge is an advantage
  • At least 15 years' relevant working experience in well-established financial organisations
  • Strong knowledge of the securities and derivatives markets. Good exposure to a variety of derivatives products and the China Stock Connect markets is an advantage
  • Strong knowledge of regulatory requirements and their impact on Market Surveillance. Enforcement experience is an advantage
  • Excellent understanding of HKEX rules and regulations. Good understanding of the trading and clearing systems is an advantage
  • Advanced analytical skills on handling large data set and report writing skills focused on delivering insights, with strong attention to details
  • Excellent leadership and be able to work effectively and productively in team environment
  • Proven ability to multi task, complete assignments with high quality and on time, and able to adjust effectively to changing priorities
  • Experience in using a Trade Surveillance platform for alert management and investigation (e.g. SMARTS/Actimize)
  • Surveillance experience (trade/control room) is an advantage
  • Project management experience (planning/testing/implementation) is an advantage
  • Impeccable communication and interpersonal skills
  • Excellent command of written and spoken English and Chinese (Cantonese); proficiency in Putonghua is 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.
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