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AVP / Associate - Market Surveillance and Monitoring (Trade Surveillance)
1 month ago
Hong Kong Exchanges and Clearing Limited is a leading financial market infrastructure operator. Our purpose is to connect, promote, and progress our markets and the communities they support for the prosperity of all.
Job Summary:
The Market Surveillance & Monitoring Department is responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. The department also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.
Key Responsibilities:
The incumbent will work proactively and collaboratively with HKEX external and internal stakeholders to promote effective market regulations for a fair, orderly, and reputable market. Key responsibilities include:
- Reviewing daily surveillance alerts and reports generated by a surveillance platform for equities and derivatives products
- Conducting investigations resulting from surveillance alerts and/or dealing with referrals of suspicious trading behavior
- Playing a major role in market surveillance-related projects and system enhancements
- Communicating and liaising with system users, regulators, external vendors, and internal stakeholders
- Calibrating, analyzing, maintaining, and improving settings of the surveillance systems
- Automating daily workflows and exploring alternatives for better performance and improved control features
- Preparing presentation materials and producing data analytics for routine or ad-hoc reporting to management and regulators
- Undertaking any other responsibilities and projects as assigned
Requirements:
The ideal candidate will have a university degree in Finance, Financial Engineering, Information Technology, Computer Sciences, Information System, or related disciplines. A minimum of 7 years' relevant working experience in well-established financial organizations, preferably in compliance or surveillance roles, is required. The candidate should have 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, is also essential. Solid understanding of market surveillance systems (e.g., SMARTS) is preferred, as is exposure to project management. Good understanding of system/programming language (e.g., SMARTS code and Python) and knowledge of machine learning and automation techniques are also advantages. Strong analytical, problem-solving, and collaboration skills are required, as is the ability to multitask, prioritize, and meet deadlines. The candidate should be able to work independently and make sensible judgments, and be flexible to take on new responsibilities and challenges. A strong command of written and spoken English and Chinese, with solid communication and presentation skills, is essential.
