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
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.