Trade Surveillance experience is a must have : The candidate must have a proven experience of 2/3 years in a Trade Surveillance role using SMARTS Trade Surveillance tool.
Product knowledge (structured products, equities, fixed income, currencies, commodities) : Necessary to understand communications of Front Officers and transactions on complex products.
Tenacity and being results oriented: Both Trade and Communications surveillances are very time-consuming tasks. The candidate must be ready to cope with a significant workload of alerts and messages to review every day.
Ability to estimate risk: Through both Trade and Communications surveillances, the candidate will be required to exercise judgment on regulatory risks. It is essential to our everyday activities in Compliance. He/she needs to be curious and proactive in raising questions and concerns.
Adaptability: The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture.
Oral and written communication: Communication is at the center of what we do every day. The candidate must be fluent in English and ideally also in French and/or as the demography of Front Officers requires to know those languages.
Analytical skills and ability to summarize key messages: The candidate will be entrusted with projects and tasks of his/her own and his/her manager will expect to receive very clear and concise feedback on the work progress.
“We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status”.
APAC Compliance maintains a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore and Taiwan (100+ staff in total). Our primary focus is to support MARK – global capital markets & GLFI – global structured finance. The allocation of resources in the region is proportionate to company staffing, size of business activities and local regulatory constraints.
Hong Kong is the regional business and Compliance hub. The team is approx. 48+ staff and split into 7 areas of expertise.
- Advisory to MARK Business Lines (ADV)
- COO Office (COO)
- Governance & Regulatory Programs (REG)
- Capital Markets Surveillance (CMS)
- Assessment, Monitoring & Testing (CTL)
- Financial Crime Unit (FCU)
- Control Room & Advisory to GLFI/CORI/GTPS Business Lines (GIB)
In other countries, we have multi disciplinary compliance teams covering all functions.
The candidate will be a member of the Capital Markets Surveillance (CMS) team in India (Bangalore or Chennai) and he/she will be primarily reporting to the CMS Hong Kong team.