Trade Surveillance - International Financial Institution

Responsibilities

Conduct surveillance of sales and trading activities across various business lines, including equities trading, electronic trading, etc., to identify and investigate unusual or potentially suspicious transactions
Analyze alerts generated by surveillance systems, escalate potential breaches and support investigations with detailed documentation
Follow-up on exception items with the supervisor and relevant business units to ensure timely resolution
Monitor new regulatory updates and developments, ensuring that both front office and back office are informed of relevant changes and the potential impact
Assist in compilation and submission of the regulatory filing as well as handling regulatory enquiries.

Requirements

Relevant experiences in trade surveillance within a global financial institution, ideally within investment banking
Strong understanding of financial markets, trading products, and applicable regulations
Experience with SMARTS Brokers is a must
Excellent analytical, investigative, and problem-solving skills
Proficiency in both English and Cantonese
Immediate availability is preferred