Trade Surveillance - Operations - Associate - 12 Months Contract
- Effective and timely management of daily surveillance alerts and reports generated in SMARTS system for equities and derivatives products
- Carry out investigation resulting from surveillance alerts and/or dealing referrals of suspicious behavior
- Carry out reviews of trading activities of EPs on their compliance with trading rules, clearing rules and other applicable requirements.
- Assist the monitoring of the large open position of HKEX derivatives products
- Participate in market surveillance projects (e.g. surveillance system enhancement) and special projects owned by other divisions
- Communicate and interact with exchange participants, external vendors and other internal teams within area of responsibilities
- University degree in Computer Sciences, Finance, Business Administration or related disciplines.
- Good knowledge of the securities and derivatives markets. Good exposure to a wide variety of financial instrument types
- 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 (e.g. trading records) 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
- Experience in using surveillance strategy or various surveillance exception reporting platforms (e.g. SMARTS) is an advantage§ 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.