Compliance Officer, Market Surveillance

Compliance Officer, Market Surveillance Qube Research & Technologies (QRT) is a global quantitative and systematic investment manager, operating in all liquid asset classes across the world. We are a technology and data driven group implementing a scientific approach to investing. Combining data, research, technology, and trading expertise has shaped QRT’s...

A leading global investment manager in Hong Kong is seeking a Market Surveillance professional to monitor trading activities and ensure compliance with regulations. The ideal candidate should have over 7 years of experience in trade surveillance, strong analytical skills, and proficiency in Python and SQL. This full-time role requires collaboration with...

Perform transaction monitoring and trade surveillance tasks to ensure alerts generated from systems are fully and properly investigated Analyze, maintain and improve setting and implement changes to the trade surveillance system and parameters calibration Carry out investigation and prepare report for internal review/STR filing Collaborate with IT team and...

ABN AMRO Clearing (AAC) Market Surveillance operates globally across Europe, USA, and Asia‑Pacific to monitor post‑trade market abuse and conduct risk. Note: This position will be hired under the Hong Kong subsidiary - ABN AMRO Clearing Hong Kong Limited. The Job We are seeking a Market Surveillance Officer to join our Market Surveillance department. In...

Our client is a leading global financial services institution with a strong presence across Asia, Europe, and the Americas. They are seeking an Assistant Manager, Market Surveillance to join its Asia‑Pacific Market Surveillance team based in Hong Kong. This team plays a critical role in ensuring the integrity of markets and adherence to global and local...

Overview AML Compliance Officer (Transaction Monitoring) - Digital Assets OSL is Hong Kong's first SFC-licensed digital asset platform. We are seeking a AML Compliance Officer (Transaction Monitoring) - Digital Assets to strengthen our first line of defense against financial crime. You will play a critical role in monitoring transaction activity,...

A global quantitative investment manager in Hong Kong seeks a Compliance Officer for Market Surveillance. The role involves monitoring trading activities to detect potential market abuse while collaborating with various teams to enhance oversight. Candidates should have extensive experience in trade surveillance, familiarity with trade surveillance tools,...

Senior Manager - Market Surveillance (Regional), Foreign Bank We are seeking a highly experienced Senior Manager - Market Surveillance to join our Hong Kong office. This role is critical in ensuring the integrity of our high frequency trading activities across equities and derivatives markets throughout the Asia‑Pacific region. The successful candidate...

VP, Head of Surveillance and Trading Compliance, Legal and Compliance Key Accountabilities Perform advisory and monitoring tasks together with leading the team within the Surveillance and Trading Compliance function, as 2nd line of defense; Responsible for issuing relevant regulatory updates to business departments and tracking interpretations; Responsible...

A leading investment bank in Hong Kong is seeking an Associate for Surveillance and Trading Compliance. The role involves issuing regulatory updates, reviewing trade surveillance, and providing compliance guidance. The ideal candidate will possess a degree in Law, Accounting, or Finance, along with 3-4 years of experience in the securities compliance field....