• Trade Surveillance Officer

    Location HK-Hong Kong
    Date posted 2 months ago(2/4/2019 12:41 AM)
    Corporate professionals
    Position type

    ITG is looking for an enthusiastic, motivated Trade Surveillance Officer to join our Compliance team.


    Investors around the world receive better returns because of the work we do every day. From traders to technologists and everyone in between, ITGers are passionate about innovating, solving problems and making an impact on the bottom line. Our teams set the bar high and strive to consistently provide best-in-class service to institutional investors around the world.



    • Conduct day-to-day real-time and post- trade surveillance for markets in Asia Pacific via SMARTS and post-trade surveillance reports (this will include desk trading, electronic trading, algorithmic trading and dark pool trading activities)
    • Manage SMARTS alerts and parameter calibration
    • Handle regulatory inquiries in relation to trading matters
    • Compile background data for suspicious transaction reports
    • Ensure that policies remain current with legal and regulatory requirements
    • Represent the business with competence and professionalism in responding to regulatory and compliance inquiries, including the reporting of trading surveillance issues
    • Provide internal training in respect of trading issues and relevant regulations
    • Approving and monitoring staff trading


    • Minimum 1 year of direct experience in trading surveillance and monitoring in institutional electronic broking. 
    • Knowledge of trade monitoring and trade surveillance in the institutional broking arena; usage of relevant tools (e.g. SMARTS) would be of assistance.
    • Knowledge of electronic trading, algorithmic trading, trading in dark pools, and market structure. 
    • Good understanding of compliance in relation to market misconduct, best practices scenarios, and the regulatory environment in Hong Kong and Australia – particularly in relation to trading, fair and orderly markets and market integrity
    • Knowledge of tools and techniques of Compliance in relation to institutional broking.
    • Good technical abilities and knowledge of systems used in institutional electronic broking.
    • Appreciation of risk and the need for timely investigation, escalation, and alert closures
    • Good understanding of model logic and experience in setting trade monitoring thresholds.
    • Superior communication and interpersonal skills, must demonstrate the ability to build positive, stable relationships across all levels of the business.
    • Ability to adapt and prioritise in a fast paced, and changing commercial environment.
    • Highly competent at building and contributing to an effective team.
    • Fluency in written and spoken English.  Cantonese an added advantage but not necessary.


    • A smaller team environment with 6 - 7 professionals
    • A great place for upward and geographic mobility
    • Direct exposure to the decision makers and senior leaders on all sides of the business
    • The energetic dynamism of financial markets
    • Teams that are passionate about continually learning, improving and raising the bar
    • A community that values hard work as well as work-life balance
    • A company that is committed to giving back to surrounding communities, from LA to Hong Kong and Sydney and the 11 locations in between


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