Manager, Trade Surveillance

Company : Morgan Mckinley

Job Type : Full Time

Hong Kong

Job Description - Manager, Trade Surveillance

Our client is a foriegn multinational brokerage firm.

Responsibilities

Conduct trade monitoring and surveillance, and review system/report outputs to provide recommendations for enhancement.
Manage projects to implement approved enhancements and changes driven by regulatory requirements.
Prepare written instructions and documentation for programmers and technology teams.
Support in hanlding trading inquiries from regulators and exchange.
Assist in drafting and maintaining policies and written supervisory procedures, and implementing remedial action plans in response to audit findings.

Requirements

Degree holder with at least 5 years of experience in trade surveillance in financial services regulator, exchange or licensed brokerage firm.
Familiar with exchange rules and handling enquiries from exchange and regulatorys.
Fluency in written and spoken English and Chinese.

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Manager, Trade Surveillance

Job Description - Manager, Trade Surveillance

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