Market Compliance Officer/ Trade Surveillance - Singapore - KS CONSULTING PTE. LTD.

KS CONSULTING PTE. LTD.

Verified Company

Singapore

2 weeks ago

Posted by:

Wei Jie

beBee Recruiter

Description

Are you ready to take your career to the next level in the dynamic world of finance? Our client, a bank is seeking a Markets Compliance Officer to join their team, located on the bustling trading floor, where you'll play a crucial role.

**Responsibilities Include: - Surveillance Expertise: Manage branch's trade and communications surveillance program, utilizing automated surveillance systems to investigate alerts and potential misconduct.

System Enhancement: Finetune and test surveillance systems to optimize alert quality and detection capabilities.
Investigation and Documentation: Collaborate with the team lead to investigate, escalate, and document suspicious activities as needed.
Representation and Reporting: Act as the face of the branch in monthly meetings and projects with head office and contribute to monthly management reporting and surveillance statistics.
Collaborative Work: Interact with Front Office sales and traders, Head Office compliance and IT colleagues, and other bank departments when necessary.
Training and

Policy Updates:
Train colleagues on surveillance system usage and update related policies, addenda, and procedures.

Diverse Responsibilities: Support Personal Account Dealing (PAD) controls and investigations, new product approvals, audits, inspections, and handling outsourcing matters in the department

Growth Opportunities:

Depending on your aptitude, there are opportunities to expand into other areas within Markets Compliance, such as licensing, advisory, desk reviews, regulatory changes, and more.

**Qualifications: - Education: A Polytechnic diploma or university degree.

Experience: 25 years in trade and communications surveillance roles, covering Global Markets/Investment Banking and FICC products. Basic understanding of relevant regulatory frameworks.