Compliance Manager - Trade Surveillance

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