AVP Market Surveillance – Compliance
- Market Abuse Surveillance
You will:
- Analyze daily alerts raised by our in-house monitoring tool
- Cover the following markets: Hong Kong, Singapore, Taiwan, India and Australia
- Investigate the rationale of suspicious transactions with traders
- Report suspicious findings to Head of Monitoring
- Report monthly activity to Regional Head of Compliance, Compliance COO and Local Heads of Compliance
- Participate in UAT whenever enhancements are released
- Shareholding Disclosure
You will:
- Monitor daily our shareholdings with an in-house tool
- Cover the following markets: all APAC
- Confirm positions with traders for any legal threshold crossing
- Make disclosure to both the listed corporation and the exchange for any legal threshold crossing
- Reply to corporations’ investigations regarding our shareholdings
- Report any incident to Head of Monitoring
- Participate in UAT whenever enhancements are released
Ideally you will have;
- Between 4 to 6 years of compliance experience, preferably in transactions surveillance
- Good understanding of the financial services regulatory environment
- Good product knowledge of one or all; Cash Equities, Equity Derivatives and Fixed Income
Please do contact me for more information on this role and the business
Kate.harper@connectedgroup.com
852 3972 5873
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