Markets Surveillance | Regulatory Compliance | VP/SVP

Job Title: Markets Surveillance | Regulatory Compliance | VP/SVP
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: JC 003
Contact Name: Janice Chee
Contact Email:
Job Published: May 18, 2018 10:51

Job Description

Job Responsibilities

  • To formulate and review procedures and guidelines for surveillance and investigations
  • Ensure that the surveillance systems and controls are operating effectively and in accordance with regulatory expectations
  • Escalate regulatory breaches to business and Compliance Senior Management for appropriate action to be executed
  • Assist with investigation request into certain practices, businesses, individuals and events
  • Present findings from these investigations through data, Management information and analysis gathered
  • Assist in the timely review of policy lexicons and subsequent alert production
  • Monitor actions arised from these investigations and ensure their completions
  • Escalate, as appropriate, any material findings or incidents of misconduct highlighted by these investigations
  • Maintain excellent internal and external stakeholder relationships for smooth execution of duties
  • Ensure that all alerts are satisfactorily escalated and resolved

Job Requirements

  • Over 10 years of working experience in the Global Markets; with experience in surveillance and advisory function within the regulatory compliance area
  • Confident to lead and develop a team
  • Ability to handle escalated issues and take these forward with Senior Management
  • Sound understanding of local regulation particularly in relation to the rules relevant to trading and sales activities
  • Knowledge of local market abuse regulation and other international rules
  • Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Management
  • Technology Savvy; ability to understand and maneuver surveillance systems
  • Supervisory skills are advantageous

Next Step

If you are interested, please send in your updated resume to

All shortlisted candidates will be notified

*For a confidential discussion on active opportunities in the Market within compliance function or find out more about this role - please reach out directly to Janice at +65 6597 5174.

Argyll Scott Asia is acting as an Employment Agency in relation to this vacancy.