Job ref no.: CT3119362-01#5570

VP V COMPLIANCE

SUPER Corporate Consultancy Group

Job Description

Effective and timely management of daily surveillance alerts and reports;
Conduct investigations on breaches of regulatory rules and requirements by exchange participants and follow up on their rectification measures;
Communicate and cooperate with other exchanges and regulators on market surveillance issues;
Produce surveillance statistics and analysis for routine and ad-hoc reporting to management;
Assist in compiling, reviewing and maintaining internal policies and procedures;
Conduct system tests for development and further enhancements of market surveillance systems;
Communicate and interact with regulators, external vendors and other internal teams within area of responsibility.
 
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More job information
Job ref no. CT3119362-01#5570
Salary
  • N/A
Job Function
Industry
Location
  • Central
  • Western District
Employment Term
  • Full-time
Experience
    N/A
Career Level
  • Senior management level
Education
  • N/A