APAC Trade Surveillance VP — Lead, Optimize Compliance

About the Company Our client is a leading investment bank with a strong presence globally. About the Job Lead a team of 4-6 members in performing monitoring and surveillance functions for the APAC region. Update and modify surveillance framework, policies and procedures. Review compliance monitoring reports, scenario reviews, analyse transaction alerts and...

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...

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 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,...

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 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....

A global financial services firm in Hong Kong seeks a Surveillance Analyst to monitor trading activities and ensure compliance with regulations. This role requires over 5 years of relevant experience in compliance or surveillance, as well as knowledge of APAC regulations. The successful candidate will collaborate with various teams across the firm to analyze...

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 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...

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...