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Senior Vice President - Market Surveillance and Monitoring - Operations

Hong Kong Exchanges and Clearing Limited
Hong Kong, Hong Kong
Closing date
Mar 17, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Company Introduction:

We're home to Asia's most dynamic and vibrant capital markets.
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.

HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."

Job Summary:
The Market Surveillance & Monitoring Department is primarily responsible for maintaining the integrity of the cash and derivatives markets through real-time trade monitoring and enforcing rule compliance of HKEX Participants. It also cooperates with Hong Kong and Mainland regulators on their investigation of cross-boundary market misconduct under the China Stock Connect markets.

The incumbent will work proactively and collaboratively with HKEX external and internal stakeholders to promote effective market regulations for a fair, orderly and reputable market.

Job Duties:


• Oversees the effective functioning of the HKEX market surveillance team, covering the Hong Kong Cash and Derivatives markets and the China Stock Connect markets

• Lead and conduct investigations into suspected breaches of HKEX rules and requirements in relation to market misconduct by market participants

• Drive initiatives to enhance data analytics and quantitative capabilities of the HKEX market surveillance function, including the use of FinTech skills to capture both traditional and alternative data sets gathered from social media networks to detect potential trading misconduct activities

• Provide guidance on the development of internal policies and procedures relevant to surveillance workflow

• Review qualitative and quantitative analysis to identify trends, give insights and present observations and findings to senior management

• Lead and Guide the review of trading / product / intra-structure related initiatives from market surveillance perspective

• Closely follow latest regulatory development, assess and recommend as appropriate

• Provide full support to Department Head in communication and liaison with local and overseas regulators, market participants and relevant internal stakeholders

• Undertake any ad-hoc assignments as required


• Master degree in a quantitative related discipline such as finance, statistics, or financial engineering

• At least 17 years' relevant experience in well-established financial institutions, of which at least 7 years at a management/supervisory level

• Solid knowledge of algorithmic and high frequency trading and various programming languages (e.g. Pythons and SQL) and statistical analysis software package (e.g. Matlab and S-Plus). Experience in alternative trading strategies based on momentum, news or social media is an advantage

• Advanced analytical skills in handling large data set and report writing skills focused on delivering insights

• Strong knowledge of the securities and derivatives markets. Exposure to a variety of derivatives products and the China Stock Connect markets is an advantage

• Strong knowledge of HKEX trading rules and regulations as well as SFO and SFC guidelines preferred. Good understanding of HKEX trading systems is an advantage

• Excellent leadership and be able to work effectively in team environment

• Proven ability to multi task and able to adjust effectively to changing priorities

• Deep familiarity with Trade Surveillance platforms e.g. SMARTS/Eventus/KX

• Project management experience (planning/testing/implementation) is an advantage

• Impeccable communication and interpersonal skills

HKEX is committed as an Equal Opportunity Employer. Diversity is one of our core values and we look to support, respect diverse perspectives, abilities, culture and experiences within our workplace.

HKEX - Exchange Square

Standard - 40 Hours (Hong Kong SAR)

Scheduled Weekly Hours:

Worker Type:

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