Compliance Associate, Securities firm, Immed start

Our client is a well-established financial institution with a strong presence in Hong Kong. With their team expanding, they are looking for a market surveillance professional to join them with a 1-year direct contract.

Job Responsibilities

• Perform daily surveillance alerts and manage market violations in equity derivatives products.
• Investigate market misconduct cases and suspicious activities including insider trading, market manipulation and avoid conflict of interest.
• Analyse investigation cases and review trading activities to ensure compliance with trading rules.
• Assist in special projects and initiatives, including revamp of surveillance system.

Requirements

• Bachelor's degree in Business administration, computer science or relevant disciplines
• Experience in market surveillance with knowledge in derivatives
• Experience in sustenance system project with SMARTS is highly preferred.
• Good communication skills in English and Chinese