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Assistant Vice President - Post Trade (Market Surveillance & Monitoring)
Hong Kong Exchanges and Clearing Limited
January 5, 2020
Responsible for real-time and post-trade surveillance on trading activities conducted on HKEX markets
Conduct investigations on and take enforcement actions against breaches of SFO, SFC codes and HKEX rules
Lead, manage and participate in projects related to market surveillance and rule enforcement
Assist with the development of and enhancement to the surveillance system / framework
Perform qualitative and quantitative analysis to interpret data, identify trends, deliver insights and present observations, findings and reporting to management
Develop, review and maintain internal policies and procedures
Communicate and interact with external and internal stakeholders, including: regulators, market participants and internal departments
University degree in Law, Business Administration, Finance or related disciplines
Working knowledge of the securities and derivatives markets, including the applicable law, rules and regulatory requirements
Good exposure to a wide variety of securities and derivatives products is an advantage
At least 7 years' relevant working experience in trade surveillance, legal or compliance in well-established financial organization
Advanced analytical skills on handling large data set and report writing skills focused on delivering insights, with strong attention to details
Self-motivated, proven ability to multi-task, complete projects with high quality and on time, and able to adjust effectively to changing priorities
Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders
Experience in project management in various stages including planning, testing, implementation and monitoring is an advantage
Hands-on experience in industry wide systems (e.g. Bloomberg, Reuters, SMARTS), Microsoft Office (including Word, Excel and PowerPoint) and knowledge of programming (e.g. VBA) and BI tools (e.g. Tableau) is an advantage
Team player with strong communication and interpersonal skills
Excellent command of written and spoken English and Chinese
Candidates with less experience will be considered as Associate
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.