AVP / Associate - Market Surveillance and Monitoring (Trade Surveillance)

4 months ago

Hong Kong, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time
Company Introduction:

We're home to Asia's most dynamic and vibrant capital markets.
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.

HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."

Job Summary:
The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.

Job Duties:

The incumbent will work proactively and collaboratively with HKEX external and internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.

Responsibilities:
  • Review daily surveillance alerts and reports generated by a surveillance platform for equities and derivatives products
  • Conduct investigation resulting from surveillance alerts and/or deal with referrals of suspicious trading behavior
  • Major role for market surveillance-related projects and system enhancements
  • Communicate and liaise with system users, regulators, external vendors and internal stakeholders
  • Calibrate, analyse, maintain and improve settings of the surveillance systems
  • Automate daily workflows and explore alternatives for better performance and improved control features
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
  • Undertake any other responsibilities and projects as assigned
Requirements:
  • University degree in Finance, Financial Engineering, Information Technology, Computer Sciences, Information System or related disciplines are preferred
  • At least 7 years' relevant working experience in well-established financial organizations, preferably in compliance or surveillance roles
  • Strong knowledge of the securities and derivatives markets and products, including equities, fixed income, rates and currencies
  • Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines
  • Solid understanding of market surveillance systems (e.g. SMARTS) is preferred
  • Exposure to project management is preferred
  • Good understanding of system/programming language (e.g. SMARTS code and Python) is an advantage
  • Good knowledge of machine learning and automation techniques is an advantage
  • Understanding of trading and clearing systems is an advantage
  • Strong analytical, problem solving and collaboration skills
  • Proven ability to multitask, prioritize and meet deadlines
  • Able to work independently and make sensible judgement, and be flexible to take on new responsibilities and challenges
  • Strong command of written and spoken English and Chinese, with solid communication and presentation skills
  • Candidate with less experience will be considered as Associate
HKEX is committed as an Equal Opportunity Employer. Diversity is one of our core values and we look to support, respect diverse perspectives, abilities, culture and experiences within our workplace.

Location:
HKEX - Exchange Square

Shift:
N/A

Scheduled Weekly Hours:
40

Worker Type:
Permanent

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