Product Compliance - International Investment Bank

Responsibilities

• Conduct surveillance of sales and trading activities across various business lines, including equities trading, electronic trading, etc., to identify and investigate unusual or potentially suspicious transactions
• Analyze alerts generated by surveillance systems, escalate potential breaches and support investigations with detailed documentation
• Follow-up on exception items with the supervisor and relevant business units to ensure timely resolution
• Monitor new regulatory updates and developments, ensuring that both front office and back office are informed of relevant changes and the potential impact
• Assist in compilation and submission of the regulatory filing as well as handling regulatory enquiries.
• Perform ad-hoc duties in relations to Product Compliance

Requirements

• 5 years of relevant experiences in trade surveillance within a financial institution
• Strong understanding of financial markets, trading products, and applicable regulations
• Experience with SMARTS Brokers is a plus
• Excellent analytical, investigative, and problem-solving skills
• Proficiency in both English and Cantonese
• Immediate availability is preferred