Trade Surveillance Associate Trade Surveillance Associate …

Interactive Brokers
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 27 May 20
Interactive Brokers
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 27 May 20
Trade Surveillance Associate
Job Description & Requirements
Reporting to the Regional Head of Surveillance the role will involve:
  • Conducting trade monitoring and surveillance;
  • Reviewing and provide suggestion to enhance existing trade surveillance system/reports;
  • Manage projects to build and implement approved enhancement changes as well as changes required due to regulatory changes.
  • Crafting written instructions for programmers and technology staff.
  • Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong;
  • Assisting in drafting and implementing firm policies and written supervisory procedures;
  • Developing and implementing remedial action plans in response to internal and external audit findings;

  • Good quantitative, analytical and problem solving skills.
  • Fluency in English (both written and spoken) is Essential.
  • Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm.
  • Familiarity with exchange rules, rules governing trading conduct.
  • Good product knowledge and understanding of the Markets.
  • Prior trade monitoring and surveillance experience.
  • Solid academic background with relevant qualifications.
  • Have a "can do" attitude and willingness to learn.
  • Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment.
  • Experience in dealing with exchange and regulatory enquiries.
  • High degree of comfort and fluency with computers and technology and an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly.
  • Ability to work in a small-team environment.
  • Ability to multi-task, priorities and work with minimal supervision.
  • Prior experience with Smarts broker or equivalent trade monitoring software.
  • Chinese language ability (both written and/or spoken in Mandarin or Cantonese) is beneficial

Company Overview
Interactive Broker a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Canada, the United Kingdom, Switzerland, Hungary, Estonia, Russia, India, Hong Kong, China, Japan and Australia.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
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