Market Surveillance Officer

Job description / Role

• Conduct real time daily surveillance of the trading for Equities and Derivatives Markets
• Prepare internal surveillance investigation reports on potential market misconduct and provide periodic referrals of cases for enforcement and further action
• Review Admission to trading applications to ensure compliance with local procedures and coordinate with companies, their advisers and internal departments such as market operations, IT to facilitate the Admission process
• Draft of company policies and procedures in relation to Anti-Money Laundering, member compliance, Personal Trading, Chinese Wall, Gift and Entertainment
• Draft and update Business Rules and Market Notices to ensure orderly market
• Provide staff appropriate training on AML policies, procedures, systems and controls
• Conduct KYC, due diligence, screening and risk based assessment of every Member and Issuer to determine the effectiveness of the exchange systems and controls in the management of its AML risks
• Assist with the preparation of the annual Anti-Money Laundering Report and quarterly compliance reports to the board of directors

Requirements

• Deep working knowledge of relevant rules and regulations, and products and market infrastructure
• Excellent communication skills and fluent in English - able to communicate complex scenarios and concepts clearly, concisely and effectively, both in person and in writing, to senior stakeholders
• Strong analytical skills and interest in digital assets and blockchain technology
• Proven experience of analysing surveillance scenario logic and thresholds to assess report effectiveness and possible enhancements
• Experience of handling, analysing and presenting large data sets to identify exceptions.
• Experience using third party trade surveillance tools (e.g. SMARTS, Actimize) and market data (e.g. Bloomberg, Reuters Eikon) to investigate and analyse surveillance alerts
• Bright, organised and well-developed execution skills; capable of managing competing deadlines and prioritising a varied workload. Previous project management experience would be beneficial
• Confidence to use own initiative and apply judgment in an in-house context
• Able to build strong working relationships with front office and global colleagues in Compliance and IT, and work collaboratively to deliver first-class results
• Enthusiasm and aspiration to learn and develop
• Bachelor degree in relevant field

About the Company

Founded in 2015, Digital Finance Group (DFG) specializes in cryptocurrency, digital assets, and blockchain technology. DFG manages a range of investments, including a hedge fund for trading cryptocurrencies and digital assets across exchanges and geographies; and a venture capital fund with equity investments in blockchain companies in the U.S., Europe, and Asia. DFG operates an OTC exchange, a futures exchange, and several businesses that provide blockchain solutions for custody and payments.

We have a proven track record of success in trading and in growing early stage companies. We have performed in volatile markets. We have developed specialized expertise, market access, and knowledge. DFG is uniquely positioned to grow during the next phase of market development, to foster viable applications of the technology, and to deliver exceptional results.