Manager, Trade Surveillance

Our client is a foriegn multinational brokerage firm.

Responsibilities

• Conduct trade monitoring and surveillance, and review system/report outputs to provide recommendations for enhancement.
• Manage projects to implement approved enhancements and changes driven by regulatory requirements.
• Prepare written instructions and documentation for programmers and technology teams.
• Support in hanlding trading inquiries from regulators and exchange.
• Assist in drafting and maintaining policies and written supervisory procedures, and implementing remedial action plans in response to audit findings.

Requirements

• Degree holder with at least 5 years of experience in trade surveillance in financial services regulator, exchange or licensed brokerage firm.
• Familiar with exchange rules and handling enquiries from exchange and regulatorys.
• Fluency in written and spoken English and Chinese.