Trade Surveillance Consultant (Contract)

About the role

Sia, a global management consulting group founded in 1999, is looking for experienced trade surveillance professionals on a contract basis to support a time-bound remediation programme. The engagement involves reviewing and clearing a large volume of historical trade surveillance alerts. Successful candidates will work autonomously to review, investigate and dispose of alerts within a compressed timeframe, supplementing the existing in-house compliance team.

Key responsibilities

• Review, investigate and clear trade surveillance alerts generated by the SMARTS platform
• Assess alerts against applicable market misconduct rules, internal policies and 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
• Contribute to management information and progress reporting on remediation milestones

Required profile

• Bachelor's degree
• 8+ years of prior compliance advisory, surveillance or market conduct experience within financial services
• Strong working knowledge of the Securities and Futures Ordinance, Code of Conduct and market misconduct provisions applicable to the Hong Kong market

Required skills

• Hands-on experience operating the NASDAQ SMARTS surveillance platform, covering Hong Kong-listed equities
• Familiarity with Stock Connect trading rules and cross-border surveillance considerations is highly desirable