Market Surveillance and Monitoring Associate

1 month ago


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

Hong Kong Exchanges and Clearing Limited (HKEX) is a leading exchange group that connects and promotes the growth of Asia's capital markets. 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 incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly, and reputable market.

Key Responsibilities:

Responsibilities:
  • Handle daily surveillance alerts and reports generated in SMARTS system for equities and derivatives products
  • Carry out investigation resulting from surveillance alerts and/or dealing with referrals of suspicious behavior
  • Conduct monitoring of large open position and position limit of HKEX derivatives products
  • Assist in market surveillance-related projects and system enhancements
  • Perform UAT and implementation of surveillance systems
  • Undertake any other responsibilities and projects as assigned
Requirements:
  • University degree in Computer Sciences, Accounting, Finance, Business Administration or related disciplines.
  • Good knowledge of the securities and derivatives markets. Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates, and currencies is an advantage
  • Hands-on experience in industry-wide systems (e.g. Bloomberg, Reuters) and Microsoft Office (including Word, Excel, and PowerPoint) and knowledge of programming (e.g. VBA) is an advantage
  • Experience in using surveillance strategy or various surveillance exception reporting platforms (e.g. SMARTS) is an advantage
  • At least 3 years' relevant working experience in well-established financial organisations.
  • Work independently and be flexible to take on new responsibility or challenge
  • Able to multitask, prioritize, and meet deadlines
  • Solid analytical skills to handle large data sets with strong attention to details
  • Good collaboration skills on dealing with other departments, especially with IT or front office
  • Previous Front Office role, Risk Management, Front Office IT, or Middle Office with knowledge from front to back trade processing flows and systems would be advantageous
  • Good command of written and spoken English and Chinese (Cantonese and Mandarin)
Location:
HKEX - Exchange Square

Shift:
N/A

Scheduled Weekly Hours:
40

Worker Type:
Contract

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