Your new role
What you'll need to succeed
- Timely analysis and resolution of trade surveillance alerts to identify any high risk or suspicious trading activities across different asset classes.
- Conduct electronic communication and audio surveillance to identify potential non-compliance with laws, regulations, and Compliance policies.
- To support the APAC Compliance Surveillance Lead in Enterprise and Regional Surveillance projects as well as ongoing enhancements/initiatives.
- Liaise with the regional surveillance teams and other stakeholders, e.g. Technology to conduct UAT/testing of strategic surveillance platforms.
- Where required, perform targeted or deep dive investigations to identify potential compliance and conduct risk issues, including market abuse, market manipulation, trading on insider information, unlawful disclosure and market or personal conduct breaches.
- Assist in the update/enhancement of APAC Compliance Surveillance policies and procedures.
- Assist in the preparation of periodic management information reports (MI) on surveillance.
- Assists in audits and inspections where required.
- Support and provide guidance to more junior members within the APAC Compliance Surveillance team.
What you need to do now
- Strong knowledge of FX, Fixed Income securities and/or derivatives products.
- Experience in using/implementing trade surveillance tools (either in-house or third party vendor)
- Analytical skills - the candidate must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call Amir at Hays on +65 6303 0726 or email firstname.lastname@example.org for a confidential discussion. Referrals are welcome.
Registration ID No. R1984348 | EA License number: 07C3924 | Company Registration No. 200609504D