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Consultant- Trade Surveillance- Contract

Company

Sia Partners

Location

Hong Kong, Hong Kong Island

Type

Full-time

Job description

We are seeking experienced trade surveillance professionals on a contract basis to support a time-bound remediation programme. The engagement involves reviewing and clearing a significant volume of historical trade surveillance alerts.


Successful candidates will work autonomously to review, investigate, and disposition alerts within a compressed timeframe, supplementing the existing in-house compliance team.


Responsibilities

  • Review, investigate, and clear trade surveillance alerts generated by the SMARTS platform

  • Assess alerts against applicable market misconduct rules, internal policies, and relevant regulatory expectations.

  • Document investigation findings with clear, auditable disposition narratives.

  • Escalate genuine concerns through the appropriate channels.

  • Liaise with front-office personnel to obtain trade rationale and supporting information as needed.

  • C...

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