Job ref no.: DA/HOMT1/2018
Harbridge Partners Limited

Head of Trade Surveillance and Monitoring (APAC)

Harbridge Partners Limited

Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Responsibilities

  • Carry out the trade surveillance function for the APAC region in accordance with the Group mandated standards.
  • Use trade/communication surveillance tools to analyze system generated alerts across various platforms within the firm and escalate any potential breaches of policies applicable relevant laws and regulations.
  • Responsible for real-time and post-trade surveillance on equities, futures and Forex trading using daily surveillance reports and alerts
  • Assist in managing regularly problems arising from complaints, alleged or actual breaches of regularly requirements or ethical standards in Hong Kong, where there is a material risk the reputation of the Group or its relationship with its regulars, so as avoid/minimize reputation damage.
  • Develop, review and maintain internal policies and procedures
  • Provide compliance guidance and advise management and front line staff on regulatory or reputation risk in respect of new engagements/clients;
  • Arrange compliance training to employees.
     

Requirements

  • 8+years of working experience related to Trade Surveillance, Monitoring or compliance.
  • Degree or above in Law/Finance/Accounting or related disciplines
  • Working experience in financial institution which covers Securities, Futures and Forex trading is highly desired.
  • Well-proven managerial skills;
  • Excellent Command of verbal and written English.
     

Benefits

  • Client company is willing to buy out suitable candidate's notice period and bonus.
  • Stable working hour.
  • Competitive year end bonus.
  • Great annual leave package
  • Great Career progression.
  • Fully comprehensive medical insurance and personal insurance
  • Great MPF Pension Scheme

For further information, please contact Douglas Au oat 2523 9994

da At harbridgepartners dot com

[via CTgoodjobs Apply Now ]

More job information
Job ref no. DA/HOMT1/2018 (CT3111806-01#0176)
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 8 years - 13 years
Career Level
  • Middle management level
Education
  • Degree