Job Function
Due Diligence, Compliance And/or Legal
Description
Our client is a foriegn multinational brokerage firm.Responsibilities
- Conduct trade monitoring and surveillance, and review system/report outputs to provide recommendations for enhancement.
- Manage projects to implement approved enhancements and changes driven by regulatory requirements.
- Prepare written instructions and documentation for programmers and technology teams.
- Support in hanlding trading inquiries from regulators and exchange.
- Assist in drafting and maintaining policies and written supervisory procedures, and implementing remedial action plans in response to audit findings.
- Degree holder with at least 5 years of experience in trade surveillance in financial services regulator, exchange or licensed brokerage firm.
- Familiar with exchange rules and handling enquiries from exchange and regulatorys.
- Fluency in written and spoken English and Chinese.
Job ID: 84869718