Assistant Vice President – Markets (Market Surveillance & Monitoring)
- Not Specified
- Hong Kong Hong Kong Hong Kong HK
- Permanent, Full time
- Hong Kong Exchanges and Clearing Limited
- 14 Aug 18 2018-08-14
Job Responsibilities: •Responsible for real time monitoring of trading activities across all instrument types on the Stock Exchange of Hong Kong (SEHK), the Hong Kong Futures Exchange (HKFE) and China Stock Connect markets •Play a key role in detecting irregular trading and market abuse, conducting
- Responsible for real time monitoring of trading activities across all instrument types on the Stock Exchange of Hong Kong (SEHK), the Hong Kong Futures Exchange (HKFE) and China Stock Connect markets
- Play a key role in detecting irregular trading and market abuse, conducting investigation and presentation of findings (orally and in writing) to management and regulators
- Engage in the development and enhancement of surveillance tools and strategies, with particular emphasis on cross-market and cross-instrument coverage
- Leading and participating in major market events, new product launch and other ad-hoc projects
- Work closely with Trading and IT to develop business requirement for new surveillance scenarios
- Communicate and interact with regulators, external vendor and other internal risk management groups within area of responsibility
- Apply knowledge and expertise to influence exchange participants and peers to ensure enforcement of exchange rules and relevant regulations, balancing business strategy with appropriate risk management controls
- At least 5-6 years' of solid experience in a market surveillance or investigation role with regulators or in well-established financial organizations, of which at least 2 years’ of management or supervisory level
- Previous Trader, Regulator or Compliance officer with knowledge on rules and regulations in Hong Kong market, from front to back trade processing flows and systems would be advantageous
- Working knowledge of Hong Kong market abuse regime, HKEX trading rules and trading systems preferred
- Solid exposure to a wide variety of financial instrument types, including equities, derivatives, fixed income, rates and currencies
- Strong analytical skills (quantitative and qualitative) to handle large data and information set (e.g. trading records), and strong attention to details.
- Experience in developing surveillance strategy or using various surveillance exception reporting platforms (e.g. SMARTS, Actimize) is an advantage
- Experience in project management in various stages including planning, testing, implementation and monitoring is an advantage
- University degree in Business Administration, Finance, Mathematics, Engineering or related disciplines.
- Hands on experience in industry wide systems (e.g. Bloomberg, Reuters, Spotfire) and Microsoft Office (including Word, Excel, Access and PowerPoint) and knowledge of programming is an advantage
- Excellent command of written and spoken English and Chinese. Solid communication and presentation skills. Knowledge of Putonghua is an advantage.