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Senior Compliance Manager / Compliance Manager, Surveillance and Testing
Guotai Junan (Hong Kong) Limited
February 4, 2020
Manage the setup and on-going calibration of the trade and communications surveillance models and parameters according to regulatory and business development;
Perform alert clearance and investigation to identify market misconduct behaviors;
Undertake the surveillance of e-communications and telephone communications;
Coach and review team members' investigation work;
Liaise with sales, trading, and operations to facilitate case investigation, escalation and STR filing for suspicious trading activities;
Co-ordinate with IT and vendors for surveillance system changes and issues;
Enhance the efficiency of the processes without compromising quality, e.g. use of automation, data analytics for false positive reduction, etc;
Handle the enquiries and the remediation of trade surveillance related audit issues; and
Develop, manage and execute the compliance testing plan and activities.
University degree holder in Finance, Engineering, Accounting, or related discipline;
Minimum 5 years of relevant experience in financial institutions;
Experience in market surveillance, e-communication surveillance and/or compliance testing;
Experience in surveillance and case management systems, e.g. SMARTS, NICE Actimize;
Knowledge in financial products and trading, including OTC derivatives and debt securities;
Familiar with industry practices and regulations for market abuse and staff misconduct;
Good technical skills in data analysis using Microsoft Excel and other system tools;
Strong analytical, quantitative analysis, investigative, and communication skills; and
Proficiency in both written and spoken English and Chinese, Mandarin is a must.
*Candidates with less experience will be considered as Compliance Manager.
We offer an attractive remuneration package to the right candidate. Interested parties please forward your full resume with availability, expected salary to "firstname.lastname@example.org" or send it to 27/F., Low Block, Grand Millennium Plaza, 181 Queen's Road, Central, Hong Kong.
(Data collected will be kept strictly confidential and used for recruitment purpose only.)