Compliance-APAC - 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:

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