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Surveillance Compliance Officer

Job Seekers Hong Kong SAR China Compliance Financial Services - Financial Markets

Job Summary

  • Hong Kong
  • Permanent
  • BBBH782611
  • May 18, 2021
  • HK$61k -70k pm
Job Description

Top international brokerage firm is looking to hire a senior surveillance compliance officer to support their APAC region requirements

Job Responsibilities:

  • Performing real time and post trade Control via trade / order surveillance system with relevant Exchange rules
  • Performing surveillance of electronic communications
  • Executing ad hoc work, investigations and remediation project
  • Support senior manager in the firm-wide project
  • Provide input to the compliance committee as directed by the compliance officer
  • Perform registration services for individual and corporate licence registration
  • File recurring annual reports
  • Assist with registration processes

Job Requirements:

  • 8+ years of surveillance complaince experiences gained working in a Control function within a Financial Services firm, with broking or trading capacity
  • Previous middle office experiences would be highly appreciated (e.g. trade settlement, product control)
  • Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.)

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Consultant Details

Consultant Details

chanel_hui
Chanel Hui
  • Senior Consultant | Risk & Compliance Recruitment
  • 3907 3972
  • chui@morganmckinley.com