Trade Surveillance - Monitoring and Testing - AVP (Transaction Monitoring)
Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong

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 :

  • At least 10 years' relevant working experience in well-established financial organisations
  • Strong knowledge of the securities and derivatives markets. Good exposure to the China Stock Connect markets is an advantage
  • Handle daily surveillance alerts and reports generated by SMARTS system and carry out investigation resulting from surveillance alerts and / or dealing with referrals of suspicious behavior
  • Support and participate in market surveillance-related projects and system enhancements
  • Liaise and interact with system users, regulators, external vendors and other internal teams on surveillance systems
  • Analyse, maintain and improve settings and implement changes to the surveillance systems
  • Guide the team to effectively automate / manage daily workflows, regulatory / management reporting
  • Requirements :

  • University degree in Financial Engineering, Information Technology, Computer Sciences, Information System or related disciplines.
  • 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
  • Willing to work on weekends for system testing on an occasional basis
  • 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.


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