Trade Surveillance Associate: Investigate

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...

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 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....

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...

The Company Our client is a leading global fintech and payments organization focused on business banking solutions. With a strong presence in Asia and a reputation for innovation, they deliver state-of-the-art financial technology to SMEs and larger corporations, ensuring both scalability and regulatory compliance. The Team You will be part of the Financial...

About the job Compliance Manager / Senior Manager (Trade Surveillance) - Virtual Asset Trading Platform Responsibilities Perform trade surveillance to ensure alerts generated from systems are fully and properly investigated Conduct investigation resulting from surveillance alerts and/or deal with referrals of suspicious trading behavior Lead market...

We are partnering with a leading global investment manager to recruit a key member for their Global Trade Surveillance team. This is a high-visible and critical role in a best-in‑class global team, with the opportunity to establish and influence the control framework across the region. The Role: Establish a comprehensive trade surveillance control...

Associate, Surveillance and Trading Compliance, Legal and Compliance Key Accountabilities Responsible for issuing relevant regulatory updates to business departments and tracking interpretations; Responsible for regular review of trade surveillance and other regulatory compliance programs to identify possible compliance issues, report suspicious trading...

We are partnering with a leading global investment manager to recruit a key member for their Global Trade Surveillance team. This is a high-visible and critical role in a best-in-class global team, with the opportunity to establish and influence the control framework across the region. Being part of global surveillance team, you will be responsible for APAC...

A virtual asset trading platform is looking for a Compliance Manager / Senior Manager to oversee trade surveillance and ensure compliance with regulations. You'll perform investigations on alerts, lead system enhancements, and communicate with various stakeholders including regulatory authorities. A minimum of three years in compliance with experience in...