Responsibilities
• Assist the Head of  Legal and Compliance in the management of the department.
• Perform daily front office monitoring of the business and conduct of regulated sales and trading activities, including brokerage, electronic and proprietary trading, asset management and wealth management.
• Performing post-transaction surveillance for short-selling, market misconduct and other trading irregularities
• Performing regular and ad-hoc monitoring and where required, reporting or disclosure of interests in securities and large open positions and money laundering.
• Perform monitoring of emails, telephone and other electronic communications
• Handling escalation and reporting of trading, information technolofy and operational errors and incidents
• Assist in establising, updating and enforcing internal front office, trading and sales policies and procedures
• Providing advice on regulatory, exchange and trading rules and regulations and updates
• Provide advice with respect to existing and potential new business activities, systems and products and information security and business contingency plans.
• Planning and undertaking regular compliance reviews on the business and regulated activities.

Requirements:
• Holder of degree in finance, accounting or other related disciplines
• At least 5 years prior working experience in compliance, audit, investment or fraud risk management in the banking, financial services or securities industry
• Previous work experience in trade surveillance or investment management compliance with a regulatory body(SFC, HKMA, HKEX), exchange, financial institution, investment bank or fund manager preferred.
• Knowledge of Information technology, electronic trading, surveillance, or risk management systems will be an advantage.
• Excellent command of written and spoken English and Cantonese. Mandarin is preferred.

Interested parties please send your CV to Jyoti Golchha at jgolchha@morganmckinley.com.hk