Consultant- Trade Surveillance- Contract
Core
Review, investigate, and clear historical trade surveillance alerts generated by the SMARTS platform to support a time-bound remediation programme.
Role type
Contract trade surveillance consultant
Builds
Management information and progress reporting on remediation milestones
Domain
Financial services / Market surveillance
Deliverable
client delivery
Required skills
Trade surveillance investigation, SMARTS platform operation, Securities and Futures Ordinance knowledge, market misconduct rule assessment, audit documentation, cross-border surveillance analysis
Preferred skills
Stock Connect trading rules knowledge, Hong Kong-listed equities expertise
Technologies
NASDAQ SMARTS
Responsibilities
Review and clear trade surveillance alerts; Assess alerts against market misconduct rules and internal policies; Document investigation findings with auditable narratives; Escalate genuine concerns; Liaise with front-office personnel for trade rationale; Contribute to progress reporting
Seniority
Senior, hands-on IC