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
Auditable disposition narratives and management information reports on remediation milestones
Domain
Financial services compliance (Hong Kong market)
Deliverable
client delivery
Required skills
Trade surveillance investigation, SMARTS platform operation, Securities and Futures Ordinance knowledge, market misconduct rule assessment, cross-border surveillance familiarity
Preferred skills
Stock Connect trading rules knowledge
Responsibilities
Review and clear trade surveillance alerts, assess alerts against market misconduct rules and internal policies, document investigation findings, escalate genuine concerns, liaise with front-office personnel for trade rationale, contribute to progress reporting
Seniority
Senior, hands-on IC
