锦鲤求职岗位描述
Responsibilities :
l Conduct investigation on compliance and red flags, liaise and report suspicious case to Securities and Futures Commission (SFC), Joint Financial Intelligence Unit (JFIU) and other law enforcement units;
l Response to enquiries and requests from regulators (e.g. SFC), securities exchange (e.g. HKEX), and other law enforcement units and upstream brokers;
l Handle daily surveillance alerts and reports by surveillance system for equities and derivative products
l Analyzing trading pattern such as inside trading, price rigging, ramping, wash trading and spoofing use trade surveillance tools
l Assisting in the construction of market abuse risk analysis and mapping of trade surveillance controls to resolve residual risk
l Analyze, maintain and improve setting and implement changes to the trade surveillance system and parameters calibration
l Develop and introduce controls of surveillance rules to enhance coverage for market misconduct to ensure it complies with the latest regulatory requirements
l Collaborate with IT team and perform user acceptance test to review and fine tune drawbacks found
l Handle ad hoc compliance related projects as assigned
Requirements :
l Undergraduate Degree in Law, Accountancy, Finance, or related disciplines;
l Minimum 1-2 years of compliance and/or trade surveillance experience, Or
Minimum 3 years of solid experience in well fame brokerage firms dealing room. Good exposure to back-end trade monitoring would be an advantage
l Good understanding of trade surveillance system, programming language and well versed with VBA/Python programming skills and improve workflows for better performance
l Good understanding of wide variety of financial instrument types, including equities, fixed
Income, rates, derivatives, foreign exchange leverage products
l Good understanding of SFC code of conducts, guidelines, and regulatory requirement;
l Self-motivated, independent, able to communicate effectively at all levels
l A team player with strong communication and analytical skills as well as high degree of professional maturity;
l Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus