Vice President/ Assistant Vice President - Market Surveillance & Monitoring
Hong Kong Exchanges and Clearing Limited
Hong Kong, Asia Pacific

The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants.

It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.

The incumbent will work proactively and collaboratively with other HKEX internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.

Job Responsibilities :

  • Handle daily surveillance alerts and reports generated by SMARTS system for equities and derivatives products
  • Carry out investigation resulting from surveillance alerts and / or dealing with referrals of suspicious behavior
  • Participate in market surveillance-related projects and system enhancements
  • Prepare presentation materials and produce data analytics for routine or ad-hoc reporting to management and regulators
  • Communicate and liaise with system users, regulators, external vendors and internal stakeholders
  • Analyse, maintain and improve settings and implement changes to the surveillance systems
  • Lead the team to automate daily workflows and explore alternatives for better performance
  • Undertake any other responsibilities and projects as assigned
  • Job Requirements :

  • University degree in Financial Engineering, Information Technology, Computer Sciences, Information System or related disciplines.
  • At least 10 years’ relevant working experience in well-established financial organisations
  • Strong knowledge of the securities and derivatives markets and products. Good exposure to the China Stock Connect markets is an advantage.
  • Good exposure to a wide variety of financial instrument types, including equities, fixed income, rates and currencies is an advantage
  • Experience of project development and implementation on large scale critical systems
  • Strong analytical, problem solving and collaboration skills
  • Able to multitask, prioritize and meet deadlines
  • Good understanding of the trading and clearing systems is an advantage
  • Good understanding of market surveillance systems (particularly SMARTS) is an advantage
  • Good understanding of system / programming language (e.g. SMARTS code) is an advantage
  • Able to work independently and make sensible judgement, and be flexible to take on new responsibility / challenge
  • Good command of written and spoken English and Chinese, solid communication and presentation skills
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