Trade Surveillance, VP

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 a VP, Head of Surveillance and Trading Compliance. The role involves advisory and monitoring tasks, overseeing compliance with regulations, and providing guidance to various departments. Ideal candidates should have a strong knowledge of Hong Kong regulatory standards and possess at least 8 years of...

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...

Zhong Ou Asset Management International Limited Location: Central and Western District, HK Responsibilities 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...

Regulatory Reporting and Surveillance -AVP/ VP Lead and execute timely, accurate regulatory transaction and position reporting across APAC (HKMA, MAS, ASIC, SEBI, etc.) for equities and fixed income Own APAC regulatory reporting processes (trade repositories, SEBI, QFII, short position reporting) and act as subject-matter expert Maintain and enhance control...

A leading global investment manager is seeking a key member for their Global Trade Surveillance team in Hong Kong. The role involves establishing a comprehensive trade surveillance control framework across all asset classes in the APAC region. The ideal candidate will have over 4 years of direct trade surveillance experience, preferably in APAC equities,...

Key Responsibilities Develop and implement a comprehensive trade surveillance framework that ensures compliance with regulations across all markets and jurisdictions we trade. Conduct day-to-day monitoring of trading activities to identify potential compliance issues, market abuse, insider trading, or other irregularities Investigate alerts and elevate...

Overview Develop and implement a comprehensive trade surveillance framework that ensures compliance with regulations across all markets and jurisdictions we trade. Conduct day-to-day monitoring of trading activities to identify potential compliance issues, market abuse, insider trading, or other irregularities. Investigate alerts and escalate issues to...

A financial services firm in Hong Kong is seeking a compliance specialist to develop a trade surveillance framework and monitor trading activities. The ideal candidate has a bachelor's degree in Finance or a related field, with 5–8 years of experience in trade surveillance or compliance within hedge funds. Strong knowledge of regulatory frameworks and the...

A leading financial services firm in Hong Kong is seeking a Surveillance Officer to perform transaction monitoring and ensure that all alerts from trade surveillance systems are duly investigated. Candidates should have an undergraduate degree in Law, Accountancy, or Finance, along with experience in compliance and trade surveillance. The ideal candidate...