Assistant Vice President - Market Surveillance & Monitoring (Trade Surveillance) Assistant Vice President - Market Surveillance &  …

Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Hong Kong Exchanges and Clearing Limited
in Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Assistant Vice President - Market Surveillance & Monitoring (Trade Surveillance)
The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets. The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.

Job Responsibilities:
  • Handle daily surveillance alerts and reports generated by SMARTS system for equities and derivatives products
  • Carry out investigation resulting from surveillance alerts and/or dealing with referrals of suspicious behavior
  • Participate in market surveillance-related projects and system enhancements
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
  • Communicate and liaise with system users, regulators, external vendors and internal stakeholders
  • Analyse, maintain and improve settings and implement changes to the surveillance systems
  • Lead the team to automate daily workflows and explore alternatives for better performance
  • Undertake any other responsibilities and projects as assigned

Requirements:
  • University degree in Financial Engineering, Information Technology, Computer Sciences, Information System or related disciplines.
  • At least 10 years' relevant working experience in well-established financial organisations
  • Strong knowledge of the securities and derivatives markets and products. Good exposure to the China Stock Connect markets is an advantage.
  • Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates and currencies is an advantage
  • Experience of project development and implementation on large scale critical systems
  • Strong analytical, problem solving and collaboration skills
  • Able to multitask, prioritize and meet deadlines
  • Good understanding of the trading and clearing systems is an advantage
  • Good understanding of market surveillance systems (particularly SMARTS) is an advantage
  • Good understanding of system/programming language (e.g. SMARTS code) is an advantage
  • Able to work independently and make sensible judgement, and be flexible to take on new responsibility / challenge
  • Good command of written and spoken English and Chinese, solid communication and presentation skills

Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.
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