Market Surveillance and Monitoring Associate

4 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Hong Kong Exchanges and Clearing Limited Full time
Job Overview:

As a key member of the Market Surveillance & Monitoring Department, you will play a vital role in maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. Your expertise will be instrumental in promoting effective market regulations for a fair, orderly, and reputable market.

Key Responsibilities:
  • Review daily surveillance alerts and reports generated by a surveillance platform for equities and derivatives products
  • Conduct investigation resulting from surveillance alerts and/or deal with referrals of suspicious trading behavior
  • Major role for market surveillance-related projects and system enhancements
  • Communicate and liaise with system users, regulators, external vendors, and internal stakeholders
  • Calibrate, analyze, maintain, and improve settings of the surveillance systems
  • Automate daily workflows and explore alternatives for better performance and improved 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

Requirements:
  • University degree in Finance, Financial Engineering, Information Technology, Computer Sciences, Information System, or related disciplines are preferred
  • At least 7 years' relevant working experience in well-established financial organizations, preferably in compliance or surveillance roles
  • Strong knowledge of the 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 of market surveillance systems (e.g. SMARTS) is preferred
  • Exposure to project management is preferred
  • Good understanding of system/programming language (e.g. SMARTS code and Python) is an advantage
  • Good knowledge of machine learning and automation techniques is an advantage
  • Understanding of trading and clearing systems is an advantage
  • Strong analytical, problem-solving, and collaboration skills
  • Proven ability to multitask, prioritize, and meet deadlines
  • Able to work independently and make sensible judgments, and be flexible to take on new responsibilities and challenges
  • Strong command of written and spoken English and Chinese, with solid communication and presentation skills
  • Candidate with less experience will be considered as Associate

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