Senior Trade Surveillance Analyst recruitment
- Reporting to the Regional Head of Trade Surveillance
- Across all asset class
About our Client
Our client is a Global Investment.
Job Description
- Day-to-day trade surveillance.
- Daily analysis investigation of alerts across Equities, Fixed Income, FX and Derivatives covering Market Abuse and Insider Dealing behaviours for allocated jurisdictions.
- Documenting and reporting findings of alert investigations, including identification of appropriate escalation procedures.
- Preparing reports to senior management regarding the status of alert investigation escalation.
- Developing and maintaining a proactive relationship with Front Office, Control Room, Middle Office, Market Risk, Product Specialists and Local LC.
- Ensuring that monitoring procedures and parameters are updated to facilitate change in business and market conditions.
- Voice tape reviews.
- Involvement in Desk Reviews .
- Develop subject matter expertise within Trade Surveillance Unit. Knowledge development and information management.
- Proactively participate in various information streams to gather appropriate knowledge on industry developments and regulatory developments.
- Ensure the dissemination of appropriate training and information to Local LC.
- Ensure appropriate reporting of material issues to Trade Surveillance Manager.
The Successful Applicant
- Possesses sound technical and practical knowledge in all aspects of Market Abuse, Insider Dealing and Best Execution for all relevant jurisdictions.
- Core understanding in the practical implementation and ongoing maintenance of a global, multi-product Trade Surveillance Unit.
- Core knowledge of financial products, including typical sales and trading flow Compliance skills
- Knowledge experience in risk identification and risk assessment.
- Ability to analyse relevant market abuse laws and regulations and correlate to products and business models.
- Problem solving and solution finding skills.
- Ability to carry out data mining and trend analysis.
- Communications and client management skills
- Core presentation skills - one-to-one, small group.
- Ability to use communications channels appropriate to the situation.
- Introductory dispute resolution skills.
- Introductory ability to lead discussions around complex problems with relevant stakeholders.
What's on Offer
- Competitive compensation package
To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Rouella Landicho quoting reference number H1306150 on +852 2848 9505.
May 21, 2012
• Tags: Compliance, Legal careers in the Hong Kong SAR, Senior Trade Surveillance Analyst recruitment • Posted in: Financial