Officer/ Senior Officer, Trade/ Market Surveillance - Leading regional bank

Location: Hong Kong
Job Type: Permanent
Industry: Retail & Corporate Banking
Reference: 34351_1669191619
Job Published: November 23, 2022

Key Responsibilities:
  • Assist Risk Officer and Department Head of Treasury and Markets Group ("TMG") to identify measures, mitigate, control and monitor operational risk; and ensure the timely and effective implementation of risk and control related initiatives, policies and tools.
  • Work closely with front office staff within the department to identify material operational risks and perform transaction surveillance in their day-to-day and regulated activities.
  • Manage the Bank's communication and transaction surveillance tool. Design the monitoring logic and criteria in the tool to align with Bank's compliance risk appetite in identifying exceptions.
  • Assist BCM team to ensure adequate procedures, guidelines and records are in place to effectively address surveillance monitoring requirements in order to facilitate regular management reporting and ensure timely escalation to senior management for conduct risk cases.
  • Assist on various operational risk initiatives including control assurance, risk reporting, projects, trainings for frontline staff, etc. to ensure timely implementation and ongoing effectiveness of key controls.
  • Work closely with other control units in the Bank such as Operational Risk Management, Compliance, and Internal audit to perform the role duties.


  • Degree holder in Business, Finance or related discipline
  • Minimum 2 years of relevant experience in in front office Sales & Trading or supporting functions e.g. Business Management, Middle Office, Risk management, Compliance, etc.
  • Good knowledge in operational risk management
  • Excellent analytical, interpersonal and communication skills
  • Self-motivated and attention to details
  • Proficiency in written and spoken English and Chinese (including Mandarin)

If you want a private conversation about the role, do not hesitate to reach Kaelyn at +852 3905 1192. Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidentiality and solely used for recruitment purposes.