about the job:
Perform independent trade surveillance and monitoring, alongside electronic communication (e-com) surveillance systems.
Conduct independent second-level control reviews on selected business activities and public-side trading processes to ensure total alignment with legal, regulatory, and internal policy frameworks.
Manage, evaluate, and handle regulatory requests, investigations, and inquiries efficiently.
Provide accurate, timely regulatory compliance advice to the Equities, FICC, and Wealth Management business units regarding trade surveillance anomalies.
Assist in updating, enhancing, and drafting compliance policies, surveillance methodologies, and control review frameworks in light of emerging regulatory updates and business expansion.
Deliver tailored compliance training modules to front-office business units and core infrastructure support teams on surveillance and market conduct matters.
Spearhead and manage ad-hoc compliance projects and regulatory change initiatives assigned by the Head of Department.
skills & experience required:
University degree in Business, Finance, Economics, Law, or a related commercial discipline.
Minimum 3–10 years of relevant experience in trade monitoring, e-com surveillance, or public-side compliance within a licensed corporation or investment bank.
Direct working exposure within an in-house institutional compliance team or a relevant financial regulatory authority (such as the SFC or HKEX) is highly desirable.
Deep familiarity with the trading rules, Securities and Futures Ordinance (SFO), and related regulatory expectations applicable to Hong Kong licensed corporations.
Exceptional analytical capability, technical literacy with surveillance systems, and a strict attention to detail.
Outstanding communication skills with native or professional fluency in English and Mandarin to seamlessly engage with regional stakeholders.
If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk.
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