VP- Director, Trade Surveillance and Monitoring recruitment
This role will look across the groups business in Hong Kong, montoring and conducting trade surveillance across fixed income, equities and some equity derivatives for the main business lines, including Private Wealth Management and capital markets.
Key Responsibilities:
- Monitor trading across all asset classes
- Identify exceptions to regulatory requirements and policy.
- Maintain an up-to-date knowledge of regulatory requirements and advise front office on any potential implications.
- Regularly communicate with the business on changes and updates that will effect trading activities.
- Support the compliance team on other adhoc tasks.
Candidates must have relevant monitoring and surveillance experience, and be able to demonstrate a good understanding of capital markets products as well as local regulations, i.e. SFC and HKMA. This is a senior role, therefore candidates must be able to demonstrate significant experience in this field.
Intersted parties should submit their profile in the first instance.