Hong Kong Exchanges and Clearing Limited (HKEX) is a leading global operator of exchanges and clearing houses based in Hong Kong, Asia’s premier international financial centre, and one of the world’s largest exchange groups by market capitalisation. HKEX operates the securities and derivatives...

Hong Kong Exchanges and Clearing Limited (HKEX) is a leading global operator of exchanges and clearing houses based in Hong Kong, Asia’s premier international financial centre, and one of the world’s largest exchange groups by market capitalisation. HKEX operates the securities and derivatives markets and their related clearing houses and is the frontline regulator of listed companies in Hong Kong. It also owns the London Metal Exchange (LME) in the UK, the world's premier base metals market.

Assistant Vice President – Market Surveillance & Monitoring

Job level Middle
Work exp Minimum 6 Years
Education Bachelor Degree
Location Hong Kong
Employment type Full Time
Industry Financial Services
Job function Banking / Finance > Risk Management
Banking / Finance > Legal / Compliance
Banking / Finance > Derivatives / Equities
Published On 14/10/2016
ref. IRC687

Job Responsibilities:

  • Responsible for real-time and post-trade surveillance on equities and derivatives products using daily surveillance reports and alerts
  • Perform due diligence check on different types of market participants’ applications, including registration as market makers, application for excess position limits, etc
  • Conduct investigations on breaches of HKEX rules and requirements by market participants and follow up on their rectification measures
  • Lead, manage and participate in market surveillance projects (e.g. report automation and process improvement) and special projects owned by other divisions
  • Perform qualitative and quantitative analysis to interpret data, identify trends and present observations and findings to management
  • Develop, review and maintain internal policies and procedures
  • Communicate and interact with regulators, market participants and relevant internal departments

Requirements :

  • University degree in Business Administration, Finance or related disciplines
  • Working knowledge of the securities and derivatives markets
  • At least 6 years of relevant experience, preferably in well-established financial organisations
  • Experience in project management in various stages including planning, testing, implementation and monitoring is an advantage
  • Hands-on experience in industry wide systems (e.g. Bloomberg, Reuters) and Microsoft Office (including Word, Excel and PowerPoint) and knowledge of programming an advantage
  • Strong communication and interpersonal skills
  • Strong analytical, problem solving and organization skills
  • Good command of written and spoken English and Chinese (Cantonese); proficiency in Putonghua is an advantage


Applicants who do not hear from us within 6 weeks may consider their applications unsuccessful. Personal data provided will only be used for the purpose of employment application to HKEX.

 

 

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