Compliance – Wealth Management Trade Surveillance – Associate
On-siteHong Kong, Hong Kong
Hong Kong, Hong KongOn-siteFull TimeEntry LevelBachelors DegreeFinancial ServicesEnterprise
Full TimeEntry LevelBachelors DegreeEnterpriseFinancial Services
Job Summary
Review trade surveillance alerts and analyze trading activity to detect market misconduct, escalating potential violations to management. Conduct ad hoc and non-alert-based reviews for policy and regulatory breaches while assisting in designing, testing, and implementing new alert enhancements. Manage multiple projects in a fast-paced environment by interfacing with compliance officers, legal, and global regional teams to resolve issues and establish internal control processes. Maintain general administration, reporting, and procedure documentation to support the firm's global surveillance program.
Required Qualifications
- Bachelor's degree
- 5+ years of experience in a Control/Compliance role, in Wealth Management or Asset management
- Knowledge of trade and communications surveillance processes and systems such as SHARP / Reliance / Connected Archive
- Familiarity with Asset and Wealth Management investment strategies and products, including mutual funds, structured products, stocks, fixed income, and derivatives
- Experience in reviewing alert scenario effectiveness and threshold calibration
- Excellent analytical skills and strong attention to detail
- Strong interpersonal, written, and oral communication skills
- Teamwork skills; flexibility in work style and ability to collaborate with stakeholders and colleagues at all levels
- Strong PC skills, including Microsoft Excel, SharePoint, Word, PowerPoint, and other reporting tools
- Ability to establish credibility and strong partnerships with senior business leaders, control functions, and corporate partners globally
- Proven ability to communicate effectively in English at all levels, both orally and in writing
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