about the company.
Our client is a renowned brokerage company listed in the US, offering a comprehensive range of investment services. Their business encompasses trading and clearing services, margin financing and securities lending, as well as wealth management solutions
trade surveillance senior compliance officer/officer.
- hong kong
- posted 8 september 2023
- closes 6 november 2023
key responsibilities
Conduct thorough investigations into compliance issues and red flags, promptly reporting any suspicious cases to regulatory authorities such as the SFC and JFIU, and law enforcement agencies.experience
2 yearsskills
Trade Surveillance, Trade Monitoring, Compliance Dealing Room, Investment Banking, Securitiesqualifications
Bachelor degree in Law, Accountancy, Finance, or a related field.
1-3 years of experience in compliance and/or trade surveillance
Familiar with SMARTS or SARs systemeducation
Bachelor Degree
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