A leading Hong Kong Based Chinese securities and investment bank is looking for a Director in Trade Surveillance Compliance to lead the team.
Responsibilities
- Oversee and develop the entire surveillance infrastructure
- Manage the setup and on-going calibration of the trade and communications surveillance models and parameters according to regulatory and business development;
- Implement surveillance solutions i.e. documentation and UAT
- Be the point of contact with SFC enquiries and investigations
- Support the completion of Suspicious Transaction Order Reporting (STOR) filings
- Perform alert clearance and investigation to identify market misconduct behaviours;
- Act as a team lead within the trade surveillance team and report to head of compliance
Qualifications
- Bachelor's degree in Accounting or Finance
- 12+ years experience trade surveillance, selling practice and investment suitability
- Extensive experience in trade and communications surveillance systems
- Knowledge of Banking Ordinance, SFC and HKMA
- Great team player with leadership skills
- Excellent communication skills in Mandarin, English, and Cantonese