Surveillance Monitoring Lead
18 hours ago
The Regional Surveillance Oversight Lead is responsible for overseeing regional BAU surveillance activities, which include regional governance and MI, regulatory and auditor engagement, ensuring they are following defined protocols and procedures as well as developing the Enhanced Surveillance Programme. The role reports to the Regional Head of Surveillance. The development of the Enhanced Surveillance Programme will require close collaboration with surveillance colleagues across other regions and the GSC teams. This role will be responsible for reporting and tracking all aging items, liaise with GSC teams in defining paths to green, have oversight of any regional issues, e.g., QA and training and escalation of any concerns. The Regulatory Compliance function is a Second line of defence (LOD) function responsible for managing regulatory compliance risks. The Regulatory Compliance function operates in accordance with HSBC Group's Risk Management Framework (RMF). The purpose of Surveillance is to safeguard customers and the integrity of financial markets by detecting and deterring market abuse, inappropriate trading and other market conduct risks. In doing so, Surveillance serves to meet HSBC's regulatory obligations, wider stakeholder expectations, risk appetite policy requirements. Principal Responsibilities Support the Regional Head of Surveillance on a day-to-day basis providing ad hoc support and resolution of non-BAU issues at Regional Head direction. Ensure any items that require escalation are escalated timely. Ensure all regional BAU activities follow the defined process. Key contributor to local co-ordination of GRA, Compliance Assurance and regulatory reviews. Assist in the design of a single global Enhanced Surveillance Framework and ensure all items are tracked and reported in line with this including documenting the FTE ask for each request. Ensure any items in the monthly aging report are correct and documented correctly with clear and precise paths to green. To succeed, you will need Extensive experience in a Surveillance function within a large financial institution, with a strong understanding of trade and communications surveillance. Experience in designing and delivering ad-hoc Surveillance tasks. Understanding of the surveillance alert disposition life cycle Strong analytical and problem-solving skills, with the ability to assess complex issues and implement practical solutions. A proactive and detail-oriented mindset, ensuring that surveillance processes and controls remain robust and effective. Remains up to date on latest industry developments (e.g. technology, regulatory); enables teams to incorporate improvements to drive towards operational excellence. Core skills like governance, data reporting, collaboration, stakeholder management, problem solving and analytical thinking are required Opening up a world of opportunity HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website. Issued by The Hongkong and Shanghai Banking Corporation Limited. #J-18808-Ljbffr
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Surveillance Monitor
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Hong Kong, Hong Kong SAR China Ashford Benjamin Ltd Full timeWe 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...
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Trade Surveillance
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Hong Kong Island, Hong Kong SAR China Futu Securities International (Hong Kong) Limited Full timeA financial services company in Hong Kong seeks a Compliance Officer to monitor transactions and conduct trade surveillance. The role requires an undergraduate degree in Law, Accountancy, or Finance, plus 1-2 years of related experience or 3+ years in a brokerage environment. Key responsibilities include analyzing trade surveillance systems and preparing...
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Trade Surveillance Monitoring Specialist
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Hong Kong Island, Hong Kong SAR China Infini Capital Management Limited Full timeKey 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...
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Trade Surveillance Monitoring Specialist
7 days ago
hong kong, Hong Kong SAR China Infini Capital Full timeOverview 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...
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Hong Kong Island, Hong Kong SAR China Hong Kong Exchanges & Clearing Ltd Full timeVice President, Market Surveillance and Monitoring We’re home to Asia's most dynamic and vibrant capital markets. Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.HKEX is a purpose-driven company. Our commitment to...
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hong kong, Hong Kong SAR China Hong Kong Exchanges & Clearing Ltd Full timeVice President, Market Surveillance and Monitoring We’re home to Asia's most dynamic and vibrant capital markets. Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day. HKEX is a purpose-driven company. Our commitment...
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Market Surveillance Analyst — Trade Monitoring
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Hong Kong Island, Hong Kong SAR China Qube Research & Technologies Full timeA 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,...
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Trade Surveillance, VP
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Senior Market Surveillance
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Hong Kong Island, Hong Kong SAR China Danos Group Full timeA 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...
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Hong Kong Island, Hong Kong SAR China Hong Kong Exchanges & Clearing Ltd Full timeAssociate - Market Surveillance & Monitoring (Enforcement) - Operations The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real‑time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on...
