About the role
Responsibilities
* Perform trade surveillance to ensure alerts generated from systems are fully and properly investigated * Conduct investigation resulting from surveillance alerts and/or deal with referrals of suspicious trading behavior * Lead market surveillance-related projects and system enhancements * Communicate and liaise with system users, regulators, external vendors and internal stakeholders * Act as a contact point to liaise with regulatory authorities and law enforcement agencies and handle their inquiries from a trade surveillance perspective * Undertake other compliance responsibilities including developing policies, procedures and process enhancements to strengthen the AML/CFT governance framework, collaborating with the technical development team to enhance the company's systems and AML-related systems.
Requirements
* At least 3 years of experience working in compliance and trade surveillance functions. * Great understanding of market surveillance tools (e.g Nasdaq SmartsBroker, Solidus Labs, Eventus) * Team player, self-motivated, detailed-oriented and with the ability to prioritize tasks independently * Excellent communication and interpersonal skills * Prior experience is virtual asset / crypto industry is not required * Fluent in English, and Mandarin. Speaking Cantonese would be a nice to have.
Application options
- If you're interested in this role, click 'Apply' now. For further information and a confidential discussion, you can email Winston Tse at
Originally posted on Himalayas