Trade Surveillance Manager (Ref: 02002-DLTSM-JDB)

KGI* has been a leading financial institution in Asia since 1997. Our scope of business encompasses Wealth Management, Global Markets, Asset Management and Global Sales & Prime Services. We are committed to offering a comprehensive range of financial products and services to corporate, institutional, and individual clients throughout Asia. Backed by KGI Financial Group, we have a robust footprint in Asia, covering Taiwan, Hong Kong, Singapore, Indonesia, and Thailand^.

We are currently seeking a high caliber professional to join our Trade Surveillance team.

Responsibilities

• Conduct comprehensive trade surveillance on Hong Kong equities, ensuring compliance with internal policies and regulatory requirements
• Perform trade surveillance on Hong Kong futures and options, including monitoring for market abuse and irregular trading activities
• Manage system maintenance and administration for surveillance platforms, including NTS and Eventus, to ensure system stability and data integrity
• Lead ongoing trade surveillance planning and execution, including the enhancement of monitoring frameworks, processes, and controls
• Perform ad hoc assignments and projects as assigned

Requirements

• University graduate in Finance, Computer Science, Information Technology or related disciplines
• At least 5 years of experience in trade/market surveillance, preferably in compliance or surveillance roles
• Solid understanding of market surveillance systems is preferred
• Sound knowledge of the securities and derivatives markets and products, including equities, fixed income, rates and currencies. Experience with overseas listed futures & equity is a plus
• Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines
• Good communication skills and must be PC literate and sensitive to numbers
• Proficiency in written and spoken English, Chinese and Putonghua

We offer a competitive remuneration package and long-term career development to the right candidates. Interested applicants, please send your full resume and expected salary quoting reference to the HR Department, 41/F, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong or by clicking “Quick Apply” .

For more details about career opportunities in KGI, please visit our website https://www.kgi.com.hk/en/others/careers

Information provided will be treated in strict confidence and will only be used for recruitment related purposes. All personal data of unsuccessful applicants will be destroyed within six months after the completion of recruitment process.

(Personal data collected will be used for recruitment purpose only.)

*KGI refers to KGI Asia Limited and its affiliates

^an investee enterprise of KGI Securities, not a subsidiary