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Market Surveillance and Monitoring Specialist

2 months ago

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

The Market Surveillance & Monitoring Department plays a vital role in maintaining the integrity of Hong Kong's cash and derivatives markets. As a key member of this team, you will be responsible for ensuring real-time trade monitoring and enforcing rule compliance among HKEX Participants.

Key Responsibilities:
  • Review daily surveillance alerts and reports generated by our proprietary platform to identify potential market misconduct.
  • Conduct thorough investigations into suspicious trading behavior, working closely with internal stakeholders and external regulators as needed.
  • Promote effective market regulations through proactive collaboration with HKEX external and internal stakeholders.
  • Develop and maintain strong relationships with system users, regulators, vendors, and internal stakeholders to ensure seamless communication and knowledge sharing.
  • Calibrate, analyze, and improve settings of our surveillance systems to optimize their performance and effectiveness.
  • Automate daily workflows and explore innovative solutions to enhance control features and improve overall efficiency.
  • Prepare engaging presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulatory bodies.
Requirements
  • University degree in Finance, Financial Engineering, Information Technology, Computer Sciences, Information System, or related disciplines.
  • At least 7 years' relevant working experience in well-established financial organizations, preferably in compliance or surveillance roles.
  • Strong knowledge of securities and derivatives markets and products, including equities, fixed income, rates, and currencies.
  • Good understanding of HKEX rules and regulations, as well as SFO, SFC codes, and guidelines.
  • Solid experience with market surveillance systems (e.g., SMARTS) is preferred.
  • Exposure to project management is also beneficial.
  • Strong analytical, problem-solving, and collaboration skills are essential for success in this role.
About HKEX

Hong Kong Exchanges and Clearing Limited (HKEX) is committed to being a purpose-driven organization, dedicated to promoting the long-term development of its business and markets. Our core values include diversity, respect, and inclusivity, which we strive to uphold in all aspects of our operations.