Associate, Trade Surveillance, Dealing

KGI; Hong Kong; On-site; HKD 300,000 - 540,000; Full time

Job summary

KGI is seeking a university graduate in Finance/CS/IT or related fields for a market surveillance role in Hong Kong. The ideal candidate will have 1–3 years’ experience in trade surveillance, strong numerical skills, and a solid understanding of surveillance systems and HKEX/SFO/SFC guidelines. Licences under SFC Type 1 & 2 are preferred.

Fluency in English, Chinese, and Putonghua is expected, with communication and PC literacy a must for daily compliance tasks.

Qualifications

• 1–3 years of experience in trade/market surveillance, preferably in compliance or surveillance roles.
• Solid understanding of market surveillance systems.
• Sound knowledge of securities and derivatives markets and products.
• Experience with overseas listed futures & equity is a plus.
• Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines.
• Holder of SFC Type 1 & 2 licenses.
• Good communication skills and PC literate and sensitive to numbers.
• Proficiency in written and spoken English, Chinese and Putonghua.

Skills

Market surveillance

Numerical ability

Compliance mindset

Education

University degree in Finance, CS, IT or related

SFC Type 1 & 2 licenses

Job description

• University graduate in Finance, Computer Science, Information Technology or related disciplines
• With 1-3 years of experience in trade/market surveillance, preferably in compliance or surveillance roles
• Solid understanding of market surveillance systems is preferred
• Sound knowledge of the securities and derivatives markets and products, including equities, fixed income, rates and currencies. Experience with overseas listed futures & equity is a plus
• Good knowledge of HKEX rules and regulations as well as SFO, SFC codes and guidelines
• Holder of SFC Type 1 & 2 licenses
• Good communication skills and must be PC literate and sensitive to numbers
• Proficiency in written and spoken English, Chinese and Putonghua