Top Tier FI - Compliance Surveillance Analyst - HKD35k

Job Description

Our client is a US brokerage firm seeking for a Compliance Surveillance Analyst to join their expanding team. In this role, you will play a critical part in safeguarding brokerage operations against market abuse, suspicious trading patterns, and regulatory breaches. You will proactively monitor daily trade activity, review exception alerts, and ensure our firm strictly adheres to evolving financial regulations and market integrity standards. Responsibilities • Monitor daily trading activities, order books, and electronic communications using automated surveillance systems to detect potential market manipulation, insider trading, and unauthorized trading. • Investigate trade alerts and compliance exceptions promptly, gathering necessary documentation, analyzing patterns, and drafting clear escalation reports. • Review, update, and help refine surveillance parameters, scenarios, and exception rules to adapt to changing market dynamics and regulatory expectations. • Assist in internal compliance reviews, mock audits, and regulatory examinations by organizing surveillance logs and tracking remediation items. • Provide guidance to trading desks, operations, and management on surveillance protocols, potential red flags, and everyday regulatory hurdles. • Coordinate with legal and risk management teams to document findings and implement corrective actions for identified compliance anomalies. Show More