Compliance Officer (Trade Surveillance)

Responsibilities:

• Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU) and other law enforcement units on reasonable grounds;
• Address response to enquiries and requests from regulators (e.g. SFC), securities exchange (e.g. HKEX), and other law enforcement units and upstream brokers in regards to Post-trade and Pre-Trade control or related issue;
• Assisting in the construction of market abuse risk analysis and mapping of trade surveillance controls to resolve residual risk;
• Analyze, maintain and improve rule setting of the trade surveillance program, run parameters calibration periodically to ensure the effectiveness and reliability of system against the dynamics of market abuse;
• Develop policies, procedures and SOP enhancements to strengthen the governance framework and work flow;
• Develop and introduce indispensable controls to fulfill monitoring and reporting obligation, in particular alerts type of the high-risk coverage of oversea market sectors;
• Work closely with senior staffs and other internal stakeholders to define, prioritize and implement initiatives to enhance the capabilities of all surveillance system;
• Collaborate with IT team and perform user acceptance test to validate, review and rectify drawbacks found;
• Handle ad hoc compliance related projects as assigned by senior manager

Requirements:

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines;
• Minimum 1-2 years of compliance and/or trade surveillance experience, Or
• Minimum 3 years of solid experience in well fame brokerage firms dealing room. Good exposure to back-end trade monitoring would be an advantage;
• Sound knowledge and experience of trade surveillance system (SMARTS/SARS/FCC related), programming language (VBA/Python/C/Ruby/Java) would be an advantage;
• Sound knowledge of wide variety of financial instrument types, including equities, fixed Income, rates, structured products, derivatives, foreign exchange leverage products, VA;
• Possesses a strong understanding of regulatory frameworks, including AML, CTF, and market abuse regulations, along with a solid knowledge of HKEX rules and regulations, as well as the SFO, SFC codes, guidelines, and regulatory requirements;
• Self-motivated, independent, able to proactively manage cases and drive projects forward;
• Solid analytical skills to handle large data set with strong attention to details;
• A team player with strong communication, numerical aptitude and analytical skills as well as high degree of professional maturity;
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus