Compliance-APAC - Manager / Analyst - Trade Surveillance

Responsibilities

Reporting to the Regional Head of Surveillance, the role involves:

• Conducting trade monitoring and surveillance
• Reviewing and providing suggestions to enhance the existing trade surveillance system/reports
• Manage projects to build and implement approved enhancements and changes required due to regulatory changes. 
• Crafting written instructions for programmers and technology staff.
• Assisting in handling trading inquiries from regulators and exchanges in the region, primarily Australia and Hong Kong;
• Assisting in drafting and implementing firm policies and written supervisory procedures;
• Developing and implementing remedial action plans in response to internal and external audit findings;

Required Qualifications and Skills

• Good quantitative, analytical and problem-solving skills
• Fluency in English (both written and spoken) is essential.
• Relevant direct financial market experience at a financial services regulatory agency, exchange or licensed brokerage/trading firm.
• Familiarity with exchange rules, rules governing trading conduct 
• Good product knowledge and understanding of the markets
• Prior trade monitoring and surveillance experience
• Solid academic background with relevant qualifications
• Have a "can-do" attitude and willingness to learn.
• Good organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment
• Experience in dealing with exchange and regulatory enquiries.
• A high degree of comfort and fluency with computers and technology, an understanding of how technology is applied to business and regulatory problems or an ability to develop this rapidly.
• Ability to work in a small team environment
• Ability to multi-task, prioritize and work with minimal supervision.

Desired

• Prior experience with Smarts broker or equivalent trade monitoring software.
• Chinese language ability (written and/or spoken in Mandarin or Cantonese) is beneficial.
• Citizenship requirements depend on the candidate and the role's jurisdiction.

Company Benefits & Perks

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and in-patient  
• Competitive package of Annual Leave
• Daily lunch ordered in house with fully stocked kitchen
• Great work life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with growing local presence
• Hybrid work arrangement role permitting