Consultant- Trade Surveillance- Contract

Sia is a next-generation, global management consulting group. Founded in 1999, we were born digital. Today our strategy and management capabilities are augmented by data science, enhanced by creativity and driven by responsibility. We’re optimists for change and we help clients initiate, navigate and benefit from transformation. We believe optimism is a force multiplier, helping clients to mitigate downside and maximize opportunity. 

With expertise across a broad range of sectors and services, our 3,000 consultants serve clients worldwide from 48 locations in 19 countries. Our expertise delivers results. Our optimism transforms outcomes.

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.
• Contribute to management information and progress reporting on remediation milestones.

Qualifications

Bachelor’s Degree .

• 8+ years prior compliance advisory experience, surveillance, or market conduct roles within financial services.
• Hands-on, day-to-day experience operating the NASDAQ SMARTS surveillance platform, specifically covering Hong Kong-listed equities.
• Strong working knowledge of the Securities and Futures Ordinance, Code of Conduct, and market misconduct provisions applicable to the Hong Kong market.
• Familiarity with Stock Connect trading rules and cross-border surveillance considerations is highly desirable.

Additional Information

All your information will be kept confidential according to EEO guidelines.

Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.