• Effective and timely management of daily surveillance alerts and reports generated in SMARTS system for equities and derivatives products
• Carry out market abuse investigation resulting from surveillance alerts and/or dealing referrals of suspicious behavior
• Handle routine surveillance management information reporting
• Assist in the development of new surveillances and the enhancement of existent ones, with particular emphasis on multi-product coverage that requires a close working relationship with our Trading divisions and Business development partners
• Communicate and interact with exchange participant, regulator, external vendor and other internal teams within area of responsibility 

Requirements:

• University degree in Business Administration, Finance, International Business or related disciplines. 
• At least 3 years' of experience in a previous Compliance surveillance or monitoring role in well-established financial organizations
• Experience in using surveillance strategy or various surveillance exception reporting platforms (e.g. SMARTS) is an advantage
• Understanding of HKEx trading rules and trading systems is mandatory
• Able to multitask, prioritize and meet deadlines
• Good collaboration skills on dealing with other departments, especially with IT or front office
• Strong analytical skills to handle large data set (e.g. trading records) using MS Excel, MS Access and other similar applications, with strong attention to details.
• Knowledge of using industry wide systems (e.g. Bloomberg, Reuters) is an advantage
• Experience in dealing with regulators and Mainland exchanges/clearing houses is an advantage
• Previous Front Office role, Risk Management, Front Office IT or Middle Office with knowledge from front to back trade processing flows and systems would be advantageous
• Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates and currencies
• Good understanding of the current market abuse regime and the forthcoming regulatory changes
• Good command of written and spoken English and Chinese, solid communication and presentation skills