A global financial services firm seeking in-house Legal and Compliance HK, Core Compliance Surveillance Professional, Manager/Director with 3-5yrs PQE

Surveillance is a key component of the company’s global compliance framework. In Asia Pacific, Core Compliance conducts surveillance on Hong Kong Institutional Securities businesses and some regional surveillance. The Core Compliance Surveillance Professional is responsible for monitoring relevant Business Units’ compliance with laws, regulations, rules and internal policies and procedures.

This role falls within the Core Compliance team in Asia Pacific Compliance, which looks after functions including Corporate Disclosures and Licensing, Employee Trading, Surveillance, Regulatory Inquiries, Content Delivery and Policy Development. The incumbent will have the opportunity to participate in the wider activities of the team and is expected to make contributions outside of the specific scope of their role.

Located in Hong Kong, the Core Compliance Surveillance Professional will report to the Head of Core Compliance.
Responsibilities

I. Surveillance Review
- Review and analyze surveillance reports and vendor surveillance system alerts, and complete relevant checklists;
- Conduct investigations on irregularities and abnormal activities and document findings; and
- Escalate unresolved issues or potential violations of the company's policies or external rules and regulations to his/her Manager, Coverage Compliance and Senior Management of Business Units.

II. Surveillance Models Development
- Work with IT and/or vendors in developing new surveillance models;
- Participate in User Acceptance Testing of new models/reports;
- Monitor development in regulatory requirements and adjust surveillance models accordingly;
- Assess adequacy and effectiveness of surveillance and enhance existing surveillance models; and
- Document detailed surveillance steps in surveillance procedures manuals.

III. Regulatory Inquiry
- Retrieving information for regulatory inquires for Hong Kong, Taiwan and India offshore businesses; and
- Work with Business Units in response to the regulators where necessary.
Requirements

- Minimum 3-5 years’ relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
- Preference will be given to candidates with relevant experience in surveillance for institutional equities and fixed income businesses;
- Knowledge of trade booking and settlements for Asia Pacific markets is helpful;
- Strong analytical skills, thoughtful;
- Detail-oriented;
- Quick study;
- Team player; and
- Excellent verbal and written English communication skills.