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China Securities Company - Surveillance Support - Associate
mid · Risk & Compliance
Job Summary
As an Associate within China Compliance Surveillance team, you be responsible for reviewing alerts generated from various trade and communication Surveillance systems to detect instances of potential misuse of material non-public information, breaches of policies and / or where applicable relevant laws and regulations. You will also be part of the bigger Compliance Surveillance team with a chance to get involved in various projects to uplift the Surveillance program and learn about various other asset class.
Job Responsibilities
- Use trade / communication surveillance tools to analyze system generated alerts across various platforms within the firm and locate any potential breaches of policies and/or where applicable relevant laws and regulations
- Support analysis conducted through Bloomberg and Internet research, and by maintaining awareness of regional markets and regulatory activity
- Work closely with relevant teams and stakeholders to understand trading flows and relevant regulations to support analysis
- Partner with the team and the team lead in referring or escalating any unusual or suspicious cases during the course of alert reviews to the relevant compliance officers and/or other counterparties in accordance with the defined operational process
- Ensure escalated cases are followed up and documentations are updated in our case register in a timely manner
- Participate in market conduct related investigations and ensure responses to enquiries are managed in a timely manner
- Assist in the delivery of surveillance related projects or initiatives, including establishing internal control processes and developing/updating procedures, communication and trade surveillance system analysis, testing and design
Required Qualifications, Capabilities, And Skills
- 3 plus years' Surveillance / Control Room / Advisory experience in relevant industries
- Fulfilment of all necessary regulatory licenses and requirements i.e. China Securities Regulatory Commission (CSRC), Securities Association of China (“SAC”) and other securities regulators
- Proven expertise using third party trade surveillance tools and market data vendors
- Strong product knowledge of exchange traded securities
- Good knowledge of key Asian markets and key regulations
- Good understanding of market abuse, sales and trading compliance risks, information barriers and best practice scenarios
- Understanding of trading jargon and market commentary/color to complement e-communication surveillance
- Strong knowledge of investment bank operating model
- Strong analytical skills, attention to details and the ability to manage several simultaneous tasks
- A self-motivated fast learner with the ability to work independently as well as with a team
- Adaptability to work under time pressure and resiliency to provide stable and consistent performance
Preferred Qualifications, Capabilities, And Skills
- A good understanding of the China Equities and F&O markets is desirable but not mandatory.
- Excellent computer skills especially in standard Microsoft Office applications. Knowledge in analytics tools (e.g. Tableau, Alteryx) or programming language (e.g. VBA Macro, Python) will be an advantage.