Consultant- Trade Surveillance- Contract

Responsibilities

• Review, investigate, and clear trade surveillance alerts generated by the SMARTS platform
• Assess alerts against applicable market misconduct rules, internal policies, and relevant regulatory expectations.
• Document investigation findings with clear, auditable disposition narratives.
• Escalate genuine concerns through the appropriate channels.
• Liaise with front-office personnel to obtain trade rationale and supporting information as needed.
• Contribute to management information and progress reporting on remediation milestones.
• Bachelor's Degree .
• 8+ years prior compliance advisory experience, surveillance, or market conduct roles within financial services.
• Hands-on, day-to-day experience operating the NASDAQ SMARTS surveillance platform, specifically covering Hong Kong-listed equities.
• Strong working knowledge of the Securities and Futures Ordinance, Code of Conduct, and market misconduct provisions applicable to the Hong Kong market.
• Familiarity with Stock Connect trading rules and cross-border surveillance considerations is highly desirable.
• All your information will be kept confidential according to EEO guidelines.
• Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.

Benefits

Additional Information

We are seeking experienced trade surveillance professionals on a contract basis to support a time-bound remediation programme. The engagement involves reviewing and clearing a significant volume of historical trade surveillance alerts. Successful candidates will work autonomously to review, investigate, and disposition alerts within a compressed timeframe, supplementing the existing in-house compliance team.

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Company Intel

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