Responsibilities

Reporting to the Regional Head of Surveillance, the role involves:

Conducting trade monitoring and surveillance Reviewing and providing suggestions to enhance existing trade surveillance system/reports Manage projects to build and implement approved enhancements and changes required due to regulatory changes.  Crafting written instructions for programmers and technology staff. Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong; Assisting in drafting and implementing firm policies and written supervisory procedures; Developing and implementing remedial action plans in response to internal and external audit findings;

Required Qualifications and Skills

Good quantitative, analytical and problem-solving skills Fluency in English (both written and spoken) is essential. Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm. Familiarity with exchange rules, rules governing trading conduct  Good product knowledge and understanding of the markets Prior trade monitoring and surveillance experience Solid academic background with relevant qualifications Have a "can do" attitude and willingness to learn. Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment Experience in dealing with exchange and regulatory enquiries. A high degree of comfort and fluency with computers and technology, an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly. Ability to work in a small-team environment Ability to multi-task, prioritize and work with minimal supervision.

Desired

Prior experience with Smarts broker or equivalent trade monitoring software. Chinese language ability (written and/or spoken in Mandarin or Cantonese) is beneficial. Citizenship requirements depend on the candidate and the role's jurisdiction.

 

Company Benefits & Perks

Competitive Salary, annual performance-based bonus and stock grant Excellent health and welfare benefits, including medical, dental, specialist and in-patient  Competitive package of Annual Leave Daily lunch ordered in-house with fully stocked kitchen Modern offices with multi-monitor setups Great work-life balance Unique opportunity to gain exposure to global financial products, markets and clientele Opportunities for career progression and job scope expansion in a global company with a growing local presence Hybrid work arrangement role permitting