Trade Surveillance Specialist with Regulatory Expertise

Sia Partners is a next-generation consulting firm focused on delivering superior value and tangible results to its clients as they navigate the digital revolution. With over 2,800 consultants in 18 countries, we will generate an annual turnover of USD 420 million for the current fiscal year. Our global footprint and our expertise in more than 30 sectors and...

Responsibilities Overview: The role will provide the successful candidate with a unique opportunity to apprehend the various capital markets surveillance matters across various activities and asset classes of a top-tier investment bank and will be evolving at the forefront of regulatory developments. The position will involve constant interaction with...

Job Overview:We are seeking a seasoned professional to lead our capital markets compliance team in the Asia-Pacific region. As Regional Head of Capital Markets Regulatory Surveillance, you will be responsible for defining and implementing a compliance surveillance and control setup that aligns with Group norms and Compliance global strategy.The role involves...

Job OverviewThe Trade Surveillance Specialist will play a pivotal role in ensuring the integrity of our capital markets operations, aligning with regulatory requirements and industry standards.Main ResponsibilitiesMonitor transactions to guarantee compliance with applicable regulations and exchange rules.Analyze trade surveillance alerts, conducting thorough...

Key Aspects of the JobThis role offers a unique opportunity to contribute to the evolution of regulatory compliance within our organization, leveraging expertise in trade surveillance and analysis.Main ResponsibilitiesMonitor transactions to guarantee compliance with applicable regulations and exchange rules.Analyze trade surveillance alerts, conducting...

Amber Group, a global leader in digital asset services, seeks a skilled Transaction Monitoring Specialist to join its team. This role involves conducting transaction monitoring and market surveillance activities using specialized software systems and established processes.The ideal candidate will have a comprehensive understanding of regulatory compliance...

Company OverviewAshford Benjamin Ltd is a leading entity in the industry, committed to excellence and compliance.Job DescriptionWe are seeking a skilled Compliance Specialist to provide regulatory advisory services to our Hong Kong licensed entity and APAC operations. As a key member of our team, you will be responsible for core compliance work, including...

Responsibilities:Conduct real-time monitoring and surveillance of trading activities to detect and prevent market abuse and regulatory violations. Manage the Control Room operations, including oversight of MNPI, restricted lists, and information barriers. Utilize surveillance tools such as SMARTS, Actimize, and other data analytics tools to monitor and...

Job Description:We are looking for an experienced leader to oversee our capital markets compliance team in the Asia-Pacific region. As Head of Capital Markets Compliance Asia-Pacific, you will be responsible for managing a team of 20+ individuals and overseeing various business lines and compliance teams.The role involves designing and implementing effective...

At Harbridge Partners, we are seeking a highly skilled and experienced Compliance Specialist to join our team in Hong Kong.About the Role:The Compliance Specialist will be responsible for managing the AML/CTF team, providing guidance and advisory services to senior management and business units, and developing and implementing AML/CTF policies and...

Company OverviewThe Professional Body Hong Kong, a leading regulatory organization, seeks an experienced professional to join its team as Senior Regulatory Affairs Specialist. In this role, you will be responsible for reviewing, revising, and establishing regulations and policies that align with the organization's goals and objectives.Job DescriptionDevelop...

About the RoleThe Trading Advisory Compliance Manager will play a pivotal role in shaping OKX's trade compliance program, ensuring regulatory alignment and best practices. This includes developing and enhancing policies, procedures, guidelines, and trading manuals to ensure global regulatory compliance.The successful candidate will work closely with...

Role Summary: The Senior Compliance Analyst will play a crucial role in monitoring and testing regulatory and corporate compliance obligations across APAC. This will involve partnering with compliance team members and managers to provide consultation and advice on regulatory matters.Additionally, the position will require coordination with EMEA and US...

About the RoleThe Trade Execution Specialist will play a critical role in managing retail flow received via brokers, ensuring seamless execution of high-volume trades through a sophisticated algorithm.Key ResponsibilitiesOversee retail flow trades executed via a high-volume algorithm, guaranteeing optimal performance and efficiency.Manually execute exception...

Company OverviewSia Partners is a cutting-edge consulting firm that empowers businesses to thrive in the digital age. With a global presence and expertise spanning multiple sectors, we deliver tailored solutions that drive tangible results.We guide our clients through strategic projects, business transformations, IT & digital strategy, and Data Science...

Senior Operations Analyst Job SummaryInfini Capital is seeking a highly motivated and experienced Senior Operations Analyst to join our team.About the RoleThe successful candidate will be responsible for providing exceptional operational support to our Portfolio Managers, ensuring seamless execution of trades and meeting regulatory requirements.Key...

Key Responsiblities:Review daily and monthly alerts related to post-transaction monitoring and trade surveillance. Investigate transactions that may raise suspicions and take necessary follow-up actions to ensure adherence to internal policies and regulatory requirements. Collaborate with the AML team leader to analyze suspicious transaction reports and...

Compliance Review SpecialistAbout the Role:We are looking for a highly skilled Compliance Review Specialist to join our team at the Bank of China.This is a full-time position in the Operational Risk Management Department, reporting to the Head of Compliance.The successful candidate will be responsible for conducting regular compliance reviews, formulating...

Job OverviewWe are seeking a Senior Index Options Trading Specialist to join our team at eFinancialCareers.About the RoleAs a Senior Index Options Trading Specialist, you will be responsible for market making Index Options in emerging markets.You will strictly comply with regulatory policies and risk limits.Your key responsibilities will include monitoring...

Regulatory Compliance and Licensing SpecialistTbwa Chiat/Day Inc is seeking an experienced Regulatory Compliance and Licensing Specialist to join our ecosystem project. Our client, a leading digital assets company globally, requires a strong knowledge in the crypto space.About the Role:Stay informed on rapidly changing global crypto regulations and provide...