Our client, an international firm is looking for a compliance surveillance individual. You will be part of the surveillance team, looking at market, trades or sales transactions. In a team of 4, you will be under the guidance of a very experienced mentor, and will be exposed to an international sales floor.
Responsibilities:
- Conduct transaction and communications surveillance to detect potential market abuse.
- Ensure surveillance activities adhere to agreed procedures and frameworks, following escalation processes and timely issue resolution.
- Review and distribute relevant management information.
- Continuously improve parameters calibration for surveillance processes.
- Manage and contribute to Trade and Communication Surveillance projects.
- Provide mentorship to junior team members.
- Assist with audit queries and ad hoc regulatory requests.
- Collaborate with Compliance staff across Mizuho's network, Front Office, Operations, Product Control, and Market Risk for timely investigations.
Skills and Qualifications:
- Minimum 8 years of Compliance experience, with 3-5 years focused on trade and communication surveillance.
- Knowledge of local and global regulatory requirements and industry standards related to market abuse surveillance.
- Strong product knowledge across asset classes, preferably with experience in Fixed Income and FX products.
- Proficiency in PC/Excel skills and familiarity with trade/communication surveillance tools (e.g., Trading Hub, SMARTS, BBG Vault).
- Fluency in English; understanding of Cantonese preferred for trade call surveillance.
- Proactive with the ability to work independently.
- Excellent verbal and written communication skills.
- Strong analytical and problem-solving abilities.
- Effective project management skills.
Note: This position requires understanding Cantonese for trade call surveillance, but speaking Cantonese is not necessary.
