Assistant Manager Market Surveillance

4 days ago

Hong Kong Island, Hong Kong SAR China Aquis Search Limited Full time

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 regulatory standards by monitoring, investigating, and escalating potential market misconduct or abusive trading activities. The successful candidate will support day‑to‑day surveillance operations, conduct in‑depth alert analyses, and liaise closely with Compliance, Risk, and business stakeholders to ensure robust post‑trade monitoring and effective risk controls. Key Responsibilities Analyze trading activity to identify potential abusive, manipulative, or illegal practices. Conduct thorough investigations and gather relevant information from clients, exchanges, and internal systems. Prepare and escalation reports of potential market abuse to Compliance, including detailed findings and analysis. Contribute to management and statistical reports summarizing key trends, alerts, and actions taken. Monitor and evaluate the effectiveness of existing surveillance controls and recommend enhancements. Participate in discussions and communications involving market conduct and risk management considerations. Support the configuration and maintenance of market surveillance systems (e.g., SMARTS). Requirements Bachelor’s degree or above in Finance, Economics, or a related discipline. Minimum of 6 years’ relevant experience in market surveillance, compliance, or trading risk control within a financial institution. Strong understanding of trading procedures, exchange operations, and Hong Kong market regulations. Experience with market surveillance tools and analytics systems (e.g., SMARTS) preferred. High IT literacy and strong analytical skills. Proactive mindset with the ability to identify and propose practical control improvements. Excellent command of written and spoken English; fluency in Cantonese or Mandarin is an advantage. #J-18808-Ljbffr

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