Job ref no.: CT3119337-01#5908

Assistant Vice President - Markets (Market Surveillance & Monitoring)

Hong Kong Exchange

Assistant Vice President - Markets (Market Surveillance & Monitoring) (Requisition ID: IRC3845)


Job Responsibilities:


  • Effective and timely management of daily surveillance alerts and reports generated in SMARTS system for equities and derivatives products
  • Carry out market abuse investigation resulting from surveillance alerts and/or dealing referrals of suspicious behavior
  • Produce surveillance statistics and analysis for routine and ad-hoc reporting to management
  • Lead, manage and participate in market surveillance projects (e.g. surveillance system enhancement) and special projects owned by other divisions
  • Involvement with compiling, reviewing and maintaining internal policies and procedures to high standard
  • Communicate and interact with exchange participant, regulator, external vendor and other internal teams within area of responsibility


Job Requirements:


  • University degree in Business Administration, Finance, Engineering or related disciplines.
  • At least 6 years' of experience in a previous Compliance surveillance or monitoring role in well-established financial organizations
  • Experience in using surveillance strategy or various surveillance exception reporting platforms (e.g. SMARTS) is an advantage
  • Understanding of HKEx trading rules and trading systems is mandatory
  • Work independently to make certain decisions and be flexible to take on new responsibility or challenge
  • Able to multitask, prioritize and meet deadlines
  • Good collaboration skills on dealing with other departments, especially with IT or front office
  • Strong analytical skills to handle large data set (e.g. trading records) using MS Excel, MS Access and other similar applications, with strong attention to details.
  • Knowledge of using industry wide systems (e.g. Bloomberg, Reuters) is an advantage
  • Experience in dealing with regulators and Mainland exchanges/clearing houses is an advantage
  • Previous Front Office role, Risk Management, Front Office IT or Middle Office with knowledge from front to back trade processing flows and systems would be advantageous
  • Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates and currencies
  • Good understanding of the current market abuse regime and the forthcoming regulatory changes
  • Good command of written and spoken English and Chinese, solid communication and presentation skills


Interested parties please send detailed resume with current and expected salary by clicking Apply Now.

Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.


Primary Location: Asia Pacific-Hong Kong
Job: Legal/ Compliance/ Company Secretariat
Job Posting: 11-Feb-2019, 12:59:23 AM
Unposting Date: Ongoing

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More job information
Job ref no. CT3119337-01#5908
  • N/A
Job Function
Employment Term
  • Full-time
  • 6 years - 11 years
Career Level
  • Non-management level
  • Degree