Trade Surveillance Officer (Ref: 02002-DLTSO-JDB)

KGI Hong Kong Limited; Hong Kong; On-site; HKD 300,000 - 520,000; Full time

Job summary

KGI Hong Kong Limited is seeking a high-caliber professional to join our Trade Surveillance team in Hong Kong. The role focuses on monitoring and preventing market abuse across HK equities, futures and options, and ensuring compliance with regulatory requirements.

You will support system maintenance for surveillance platforms like NTS and Eventus, contribute to ongoing surveillance planning, and handle ad hoc projects.

Qualifications

• 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.
• Good communication skills and must be PC literate and sensitive to numbers.
• Proficiency in written and spoken English, Chinese and Putonghua.

Responsibilities

• Conduct comprehensive trade surveillance on Hong Kong equities, ensuring compliance with internal policies and regulatory requirements
• Perform trade surveillance on Hong Kong futures and options, including monitoring for market abuse and irregular trading activities
• Assist in managing system maintenance and administration for surveillance platforms, including NTS and Eventus, to ensure system stability and data integrity
• Assist in ongoing trade surveillance planning and execution, including the enhancement of monitoring frameworks, processes, and controls
• Perform ad hoc assignments and projects as assigned

Skills

Communication skills

PC literacy

Education

University degree in Finance/CS/IT or related

Tools

NTS

Eventus

Job description

KGI* has been a leading financial institution in Asia since 1997. Our scope of business encompasses Wealth Management, Global Markets, Asset Management and Global Sales & Prime Services. We are committed to offering a comprehensive range of financial products and services to corporate, institutional, and individual clients throughout Asia. Backed by KGI Financial Group, we have a robust footprint in Asia, covering Taiwan, Hong Kong, Singapore, Indonesia, and Thailand^.

We are currently seeking a high caliber professional to join our Trade Surveillance team.

Responsibilities

• Conduct comprehensive trade surveillance on Hong Kong equities, ensuring compliance with internal policies and regulatory requirements
• Perform trade surveillance on Hong Kong futures and options, including monitoring for market abuse and irregular trading activities
• Assist in managing system maintenance and administration for surveillance platforms, including NTS and Eventus, to ensure system stability and data integrity
• Assist in ongoing trade surveillance planning and execution, including the enhancement of monitoring frameworks, processes, and controls
• Perform ad hoc assignments and projects as assigned

Requirements

• 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
• Good communication skills and must be PC literate and sensitive to numbers
• Proficiency in written and spoken English, Chinese and Putonghua

FormoredetailsaboutcareeropportunitiesinKGI,pleasevisitourwebsitehttps://www.kgi.com.hk/en/others/careers

Information provided will be treated in strict confidence and will only be used for recruitment related purposes. All personal data of unsuccessful applicants will be destroyed within six months after the completion of recruitment process.

*KGI refers to KGI Asia Limited and its affiliates

^an investee enterprise of KGI Securities, not a subsidiary