Assistant Vice President, Market Surveillance
2 days ago
Job Summary The Market Surveillance & Monitoring Department maintains the integrity of cash and derivatives markets through real-time trade monitoring and rule compliance enforcement. It coordinates with Hong Kong and Mainland regulators on investigations of cross-boundary market misconduct under China Stock Connect. Job Responsibilities Lead system specialist role coordinating surveillance system projects, enhancements, and related matters. Communicate with system users, IT support, regulators, external vendors, and internal stakeholders. Review daily surveillance alerts and reports generated by the surveillance platform for equities and derivatives products. Investigate alerts and deal with referrals of suspicious trading behavior. Automate daily workflows and explore alternatives for improved performance and 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. Job Requirements University degree in Finance, Financial Engineering, Information Technology, Computer Science, Information System, or related disciplines. At least 7 years of relevant experience in well-established financial organizations, preferably in compliance or surveillance roles. Strong knowledge of 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 and experience of market surveillance systems. Exposure to project and system management. Understanding of trading and clearing systems. Good understanding of system/programming language (e.g. Python). Strong analytical, problem solving, and collaboration skills. Proven ability to multitask, prioritize, and meet deadlines. Able to work independently and make sensible judgement, and flexible to take on new responsibilities and challenges. Strong command of written and spoken English and Chinese, with solid communication and presentation skills. Location and Shift Location: HKEX - Exchange Square Shift: Standard – 40 Hours (Hong Kong SAR) Scheduled Weekly Hours: 40 Worker Type: Permanent 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. #J-18808-Ljbffr
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