Compliance Manager (Trade Surveillance) - Contract upto 80k Compliance Manager (Trade Surveillance) - Contract  …

Protiviti Hong Kong
in Hong Kong
Contract, Full time
Last application, 18 Oct 20
Protiviti Hong Kong
in Hong Kong
Contract, Full time
Last application, 18 Oct 20
A multi-national financial institution is looking for a Compliance Manager for a trade surveillance, initially on 12 months rolling contract.

Protiviti are looking for skilled candidates for the following role:

The Company

Our client is one of the largest global bank in the world and offers a wide range of financial services, looking for a compliance manager initially on a 12 months rolling contract.

The Role

  • 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 6 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 would be ideal
  • Knowledge in financial products and trading, Products would be traditional stocks as well as equity derivatives (Options, Warrants, forwards, convertible bonds, etc.,).
  • 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

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
About Protiviti

Protiviti is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Through our network of more than 70 offices in over 20 countries, Protiviti and its independently owned Member Firms provide clients with consulting solutions in finance, technology, operations, data, analytics, business performance improvement, risk and internal audit. As a Protiviti consultant, you will not only work on interesting business issues with world-class companies, but you will also have access to training and networking opportunities to accelerate your expertise.

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