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Head of Equities Trade Surveillance & Monitoring

Head of Equities Trade Surveillance & Monitoring, based in Hong Kong

Our client is a Leading International Investment Bank with a well-established presence in Asia. Due to the group's commitment in strengthening compliance and controls across Asia, a Trading Compliance and Risk role in Trade Surveillance and Monitoring has arisen for an experienced Compliance Professional to lead a team, based in Hong Kong.

Reporting to the Regional Head of the function, you will lead a team in Hong Kong and in the region responsible for Trade Surveillance and Monitoring across the full range of OTC and Exchange-Traded Equities products. You will be managing compliance and regulatory risk and control of the trading activities, managing post-trade controls, performing surveillance reviews, reviewing surveillance reports, conducting exceptions investigations, developing and enhancing mitigation measures. You will partner with other team leads in compliance and trade surveillance to work on developing and implementing trading system preventative controls, surveillance processes, reports and MIS controls as well as performing ongoing maintenance and reviews to ensure the continuation of controls integrity and performance. Some of your other responsibilities will include developing processes for escalating issues, conducting testing programs on systems and controls, developing / enhancing tracking tools. This is a role requiring excellent communication skills and in-depth knowledge of the compliance risks that impact the day-to-day operations on the trading floor and trade transactions.

To qualify, individuals must possess:
A university degree with relevant professional qualifications in legal, risk or compliance fields
Minimum 12+ years relevant experience in Compliance Advisory, Trade Surveillance & Monitoring, Risk Management, Internal Control or Internal Audit gained from investment banking, securities brokerage and / or global markets sales & trading
Experience in Surveillance and Monitoring would be highly advantageous
Strong knowledge of equities, futures and options (candidates with relevant surveillance and monitoring experience covering other global markets products would also be considered)
Solid understanding of securities and exchange regulations and rules
Familiarity to the markets trading cycle
Experience in a team management / supervisory role
Excellent communication skills in English
* This role is open to UK applicants with relevant experience and skills