Associate, Market Surveillance & Monitoring (12-month Contract)
Hong Kong Exchanges and Clearing
- Hong Kong
- Permanent
- Full-time
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."Job Summary: The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.
The incumbent will work proactively and collaboratively with HKEX external and internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.Job Duties:Responsibilities:
- Handle daily surveillance alerts and reports generated by a surveillance platform for equities and derivatives products
- Conduct investigation resulting from surveillance alerts and/or deal with referrals of suspicious trading behavior
- Provide support in regular alert calibration exercises to ensure alert parameters and thresholds continue to be fit for purpose for trade monitoring
- Participate in HKEX Group initiatives and market surveillance-related projects and system enhancements
- Assist and collaborate with other stakeholders to enhance operational efficiency through automation of BAU processes
- Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
- Communicate and liaise with regulators, external vendors and internal stakeholders
- Undertake any other responsibilities and projects as assigned
- University degree in Finance, Financial Engineering, Computer Science, or related disciplines are preferred
- At least 2-3 years’ relevant working experience in well-established financial organizations
- Good knowledge of the securities and derivatives markets and products. Exposure to fixed income, currencies and commodities is an advantage
- Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines
- A basic understanding of trade surveillance systems (e.g. SMARTS) is an advantage
- Knowledge of machine learning and automation techniques is an advantage
- Strong analytical, problem solving and collaboration skills
- Able to multitask, prioritize and meet deadlines
- Able to work independently and make sensible judgement
- Good command of written and spoken English and Chinese (Cantonese and Mandarin)