Key Areas of Responsibilities
- General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation
- Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary
- Drive continuous improvement of the surveillance framework including refinement and calibration
- Contribute to the implementation of strategic department projects including global and regional initiatives.
- Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation
- Assist in the production of effective management information reports for Senior Management
- Contribute to team discussions, investigations and knowledge acquisition
- Good understanding of the trade surveillance terminologies and types of market manipulations.
- Candidate should be flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm Surveillance.
Requirements
- Attention to detail and process oriented
- Investigative skills and flexible to learn other aspects of compliance.
- Proficient in Word and Excel
- Good prioritization, organizational and multi-tasking skills
- Self-motivated, desire to be challenged and eager to learn
- Experience in building relationships with stakeholders’ Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
Stay informed on CITIC CLSA Job Opportunities
Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.