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Compliance Officer, Monitoring and Surveillance, Market Integrity Compliance

Type de contrat

Standard / Permanent


HK-Hong Kong (HK)-Hong Kong

Métier / fonction




Position Purpose
Capital Markets Surveillance team provides compliance coverage and support to various Global Markets businesses.
Key Responsibilities
  • Interact frequently with businesses as well as other support functions on all matters related to transaction exceptions
  • Work with front, middle and back office staff, compliance officers, IT to develop and/or enhance controls, surveillance and associated procedures and training
  • Conduct compliance checking under Compliance Control Plan and Testing Programme and reporting the exceptions to Management
  • Enhance existing and continue developing monitoring programme
  • Manage alerts in market abuse monitoring system for all Business Units in scope in Asia
  • Manage the implementation of electronic communication surveillance to Hong Kong Office as well as other priority Asia Pacific countries
  • Attend and contribute to market abuse project meetings
  • Coordinate responses to regulators’ queries and investigations in liaison with business and other support functions
  • Perform special investigation and review
  • Keep pace with business developments, e.g. new business activities, increasing use of electronic trading
  • Assist the Regional Head of Capital Markets Surveillance with various team projects
  • Track regulatory changes that may have implications on the team’s work

Competencies (Technical / Behavioural)
  • University graduate with major in Accounting, Business Administration, Economics, Finance or Law
  • At least several years regulatory or compliance experience, previous experience in Surveillance is mandatory
  • Good knowledge of global markets, businesses, products
  • Good knowledge of FICC, securities and exchange rules and regulations
  • Some knowledge of international regulatory reform initiatives is welcome but not mandatory
  • Proactive in identifying risks and proposing solutions
  • Good interpersonal skills and good written and oral communication skills
  • Able to work with a variety of people, and build smooth working relationships
  • High attention to details
  • Good team player
  • Able to work independently
  • Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
  • Ability to handle multiple tasks simultaneously and work under tight deadlines
  • Project management experience is an added advantage