- Regional Leadership Role
- Established Asset Management Firm
- Attractive Base Salary + Bonuses
Our client is a Leading International Asset Management firm with a well-established presence in Asia. Due to the group's commitment in strengthening compliance and controls across Asia, a Trading Compliance and Risk role in Trade Surveillance and Monitoring has arisen for an experienced Compliance Professional to lead a team, based in Hong Kong.
Reporting to the Regional Head of Compliance, you will lead the Trade Surveillance and Monitoring regional team across the full range of Equities and Fixed Income products. You will design, develop and execute the Trade Surveillance platform and program on electronic and alternative trading systems and other dealing systems. You will perform surveillance reviews, report results and findings, conduct exceptions investigations, develop and enhance mitigation measures. You will partner with other team leads in compliance and trade surveillance to work on developing and implementing trading system preventative controls, surveillance processes, reports and MIS controls as well as performing ongoing maintenance and reviews to ensure the continuation of controls integrity and performance. Some of your other responsibilities will include developing processes for escalating issues, ensuring corrective actions are implemented, identifying and monitoring remediation activities, enhancing compliance policies and procedures. You will coordinate and work closely with fund managers, dealers, the business, compliance and other control units.
To qualify, individuals must possess:
- A university degree ideally with relevant professional qualifications
- Minimum 8+ years relevant experience in Trade Surveillance & Monitoring, Compliance, Risk Management, Internal Control or Internal Audit gained from asset management, securities brokerage and / or global markets sales & trading
- Candidates from Technology Risk & Controls related to trading systems, electronic trading, algorithmic trading would also be considered
- Experience in Surveillance and Monitoring would be highly advantageous
- Strong knowledge of equities, fixed income as well as the related trading systems, investment management processes and operations
- Familiarity to electronic trading, program trading, direct market access, algorithmic trading
- Good understanding of trading regulations and rules
- Excellent communication skills in English, ability to speak Chinese would be advantageous
Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 43482. www.ambition.com.hk
Data provided is for recruitment purposes only.