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Haitong International Securities Group Limited

Compliance Manager - Trade Surveillance

Haitong International Securities Group Limited Hong Kong
Posted 3 days ago Permanent Negotiable
S
Posted by
Sherry Au Yeung
Recruiter

Job Responsibilities:

  • Oversee the daily group-wide trade surveillance process, handle escalated cases from business units and file Suspicious Transaction Reports
  • Keep updated compliance obligations and regulatory obligations in relation to trade and communication surveillance
  • Contribute to design and development of controls to enhance surveillance overage for market misconduct
  • Maintain an effective trade surveillance system including alert monitoring, parameters calibration
  • Participate in the ASFIMA and other external meetings to discuss trade surveillance related topics
  • Conduct group-wide communication surveillance and prepare regular reports to the Head of Compliance
  • Conduct annual compliance risk assessment and group-wide risk assessment, prepare annual compliance work plan and perform compliance reviews and monitoring in accordance with established compliance procedures
  • Develop and implement the compliance framework to ensure company policies and regulations are met
  • Prepare and submit regular management information reports to Compliance
  • Participating in special projects (such as external/internal review) on an ad hoc basis
  • Other compliance work that may be assigned from time to time by Head of Compliance and Group Compliance

Requirements:

  • We support local hire with solid relevant working experience in HK.
  • Degree or above qualification in Business, Finance, Legal or related discipline
  • At least 5 years of solid relevant experience
  • Preferred candidate with experience in SMARTS 
  • Exposure to compliance monitoring and review will be an advantage
  • Good spoken and written English and Chinese (including Putonghua) is required
ABOUT COMPANY
Hong Kong
Investment Banking / M & A
Haitong International Securities Group Limited (“Haitong International”; Stock Code: 665.HK) is an international financial institution with establishe...
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