Trade Surveillance & Monitoring - Audit - AVP (Transaction Monitoring) Trade Surveillance & Monitoring - Audit - AVP  …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Trade Surveillance & Monitoring - Audit - AVP (Transaction 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:
  • Responsible for enforcement of HKEX rules and regulations on Exchange and Clearing Participants through conducting HKEX's Annual Attestation and Inspection Programme and thematic reviews
  • Organize market education and communication events, including seminars and roundtables with industry associations, and publication of compliance bulletin
  • Perform due diligence on admission of market makers
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
  • Perform UAT testing and implementation of rule enforcement systems
  • Develop, maintain and review internal policies and procedures
  • Communicate and liaise with local and overseas regulators, market participants and relevant internal stakeholders
  • Undertake any other responsibilities and projects as assigned

Requirements:
  • University degree, preferably in Business Administration, Finance, Law, Legal Studies or related disciplines
  • Good knowledge of the securities and derivatives markets. Exposure to the China Stock Connect markets is an advantage
  • Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines is an advantage
  • At least 8 years' relevant experience of which at least 2 years at a management/supervisory level, preferably in audit, inspection, enforcement, compliance or advisory roles with regulators or in well-established financial organizations
  • Proven ability to multitask and able to adjust effectively to changing priorities
  • Self-starter, highly motivated with a strong delivery focus
  • Meticulous attention to details, strong analytical and problem solving skills
  • Strong verbal and written communication, interpersonal and presentation skills
  • Able to work independently and make sensible judgement, and be flexible to take on new responsibility / challenge
  • Project management experience (planning/testing/implementation) is an advantage
  • Excellent command of written and spoken English and Chinese (Cantonese). Proficiency in Putonghua is preferred

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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