Main Objectives:

• Trade surveillance;
• Control room management;
• Other compliance duties as assigned by the Deputy Head of Compliance.

Job Responsibilities:

• Conduct regular trade based surveillance review to ensure adherence to company's policy and relevant rules and regulations;
• Prepare documentation to report report and escalate to reporting manager any issues and exceptions highlighted;
• Control room management.

Job Requirements:

• With degree of bachelor or above;
• Previous work experience in trade surveillance or control room functions is preferable;
• Familiar with SFC or other regulatory rules;
• Strong product and transaction knowledge;
• Proficiency in written and spoken Mandarin and English;
• Independent ability to solve problems;
• Team player;
• Meticulous;
• Good communication and coordination skills.