Trade Surveillance - International Investment Bank - Morgan McKinley
Morgan McKinley |
Hong Kong |
HK
Responsibilities
- Conduct surveillance of sales and trading activities across various business lines, including equities trading, electronic trading, etc., to identify and investigate unusual or potentially suspicious transactions
- Analyze alerts generated by surveillance systems, escalate potential breaches and support investigations with detailed documentation
- Follow-up on exception items with the supervisor and relevant business units to ensure timely resolution
- Monitor new regulatory updates and developments, ensuring that both front office and back office are informed of relevant changes and the potential impact
- Assist in compilation and submission of the regulatory filing as well as handling regulatory enquiries.
- Perform ad-hoc duties in relations to Product Compliance
Requirements
- 5 years of relevant experiences in trade surveillance within a financial institution
- Strong understanding of financial markets, trading products, and applicable regulations
- Experience with SMARTS Brokers is a plus
- Excellent analytical, investigative, and problem-solving skills
- Proficiency in both English and Cantonese
- Immediate availability is preferred
Information :
- Company : Morgan McKinley
- Position : Trade Surveillance - International Investment Bank - Morgan McKinley
- Location : Hong Kong
- Country : HK
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Post Date : 2025-06-18 | Expired Date : 2025-07-18