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Responsibilities:
- Analyzes client behavior for signs of abusive, manipulative, or illegal trading practices.
- Gathers essential information from clients and exchanges to accurately assess activities.
- Reports potential market abuse incidents to the Compliance team, detailing the information and analyses used to aid in implementing corrective measures.
- Contributes to management reports on tracked client activities, statistical data, and conducted analyses and actions.
- Monitors risk controls related to the business, identifying any weaknesses in these controls.
- Provides regular reports required by the business line and Risk Control functions.
- Participates in all internal and external discussions and communications that involve risk considerations.
Requirements:
- Minimum 2 years of experience in the compliance industry with hands on experience in Trade/Market Surveillance
- Market Surveillance experience with EQD, stock connect, etc.
- Experience with SMARTS
- Well versed with SFC rules and regulations
- Fluent in English and Chinese
Our client offers excellent remuneration package to the right candidate. Interested parties please kindly reach out to Eunice Lee at 3907 0744 / e.lee@gravitasgroup.com for a confidential discussion.
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