Compliance – Control Room/Trade Surveillance – Assistant Manager/Associate

Full time Permanent posted 3 years ago in Banking & Finance , in Professional & Legal Services

Job Detail

  • Job ID 15755
  • Offered Salary 0
  • Career Level Others
  • Experience Others
  • Industry Banking / Finance / Investment
  • Qualifications Bachelor Degree

Job Description

Main Objectives:

  • Trade surveillance;
  • Control room management;
  • Other compliance duties as assigned by the Deputy Head of Compliance.

Job Responsibilities:

  • Conduct regular trade based surveillance review to ensure adherence to company’s policy and relevant rules and regulations;
  • Prepare documentation to report report and escalate to reporting manager any issues and exceptions highlighted;
  • Control room management.

Job Requirements:

  • With degree of bachelor or above;
  • Previous work experience in trade surveillance or control room functions is preferable;
  • Familiar with SFC or other regulatory rules;
  • Strong product and transaction knowledge;
  • Proficiency in written and spoken Mandarin and English;
  • Independent ability to solve problems;
  • Team player;
  • Meticulous;
  • Good communication and coordination skills.

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