Job Responsibilities:  

• 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 
• Produce surveillance statistics and analysis for routine and ad-hoc reporting to management
• Lead, manage and participate in market surveillance projects (e.g. surveillance system enhancement) and special projects owned by other divisions
• Involvement with compiling, reviewing and maintaining internal policies and procedures to high standard
• Communicate and interact with exchange participant, regulator, external vendor and other internal teams within area of responsibility 

Job Requirements:

• University degree in Business Administration, Finance, Engineering or related disciplines.  
• At least 6 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
• Work independently to make certain decisions and be flexible to take on new responsibility or challenge
• 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 
• Less experienced candidates will be considered as Associate

Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful.  Personal data provided will only be used for the purpose of employment application to HKEX.