Associate Director of Surveillance and Testing Associate Director of Surveillance and Testing …

Aquis Search
in Hong Kong
Permanent, Full time
Last application, 23 Oct 20
HK$90,000 per montth + bonus (3-4 months)
Aquis Search
in Hong Kong
Permanent, Full time
Last application, 23 Oct 20
HK$90,000 per montth + bonus (3-4 months)
My client is a global investment bvank looking to hire an Associate Director level Surveillance and Testing candidate. Great potential in an expanding business, Interested candidates please send cv to: andrewtsang@aquissearch.com

Responsibilities

  • Manage the operation of trade surveillance models according to regulatory standards
  • Advise internal staff, business stakeholders on licensing related matters
  • Surveillance of e-communications and telephone communications
  • Coach and manage team member's investigative working deliverables
  • Execute compliance testing plans and activities
  • Coordinate with external vendors and IT on surveillance system issues
  • Deliver compliance training sessions for employees

Requirements

  • University degree in Finance
  • 5+ years plus experience in surveillance and case managment systems ie. SMARTS, NICE
  • Leadership experience and ability to execute senior management plans
  • Familiar with regulations on market abuse and staff misconduct
  • Knowledge in financial products ie. OTC derivatives and debt securities
  • Must be able to speak English and Mandarin
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