Senior AVP, Market Surveillance & Compliance

Charterhouse Partnership; Hong Kong; On-site; HKD 900,000 - 1,600,000; Full time

Job summary

Charterhouse Partnership represents a leading financial institution in Hong Kong seeking an AVP/VP to lead Monitoring & Surveillance Compliance across traditional and virtual asset products, detecting market abuse and suspicious activity.

You will drive surveillance, investigations and regulatory liaison, strengthening monitoring capabilities and governance within a fast-paced, regulated environment.

Qualifications

• Bachelor's degree in Law, Accountancy, Finance or related discipline.
• At least 5 years' experience in compliance, trade surveillance or related function.
• Familiarity with trade surveillance systems; VBA/Python knowledge a plus; AI tools advantageous.
• Strong knowledge of a broad range of financial instruments including virtual assets.
• Solid AML/CTF and market abuse regulatory knowledge (HKEX, SFO, SFC guidelines).
• Self-driven, independent, with strong analytical, communication and teamwork skills.

Responsibilities

• Surveillance & Investigations: Conduct surveillance and investigations across traditional and virtual asset products.
• Transaction Monitoring: Monitor client fund transactions and investigate alerts for unusual activity.
• Regulatory & Exchange Liaison: Respond to regulators, exchanges, and law enforcement inquiries.
• Market Abuse Risk Analysis: Support development of market abuse risk analysis and controls.
• System & Rule Enhancement: Maintain and calibrate surveillance rules to improve effectiveness.
• Stakeholder Collaboration: Define and execute initiatives with front office and IT to enhance systems.
• Suspicious Activity Reporting: Investigate and report suspicious cases to SFC/JFIU and others.
• Ad Hoc Projects: Manage compliance projects as assigned.

Skills

VBA

Python

Trade surveillance

Data analysis

Regulatory reporting

Regulatory knowledge

Communication

Bilingual English/Chinese

Education

Bachelor's degree in Law, Accountancy, Finance

Tools

Trade surveillance systems

Job description

Charterhouse Partnership represents a leading financial institution in Hong Kong seeking an AVP/VP to lead Monitoring & Surveillance Compliance across traditional and virtual asset products, detecting market abuse and suspicious activity.

You will drive surveillance, investigations and regulatory liaison, strengthening monitoring capabilities and governance within a fast-paced, regulated environment.