Job Description
1. Trade Surveillance & e-Communication Surveillance
- Execute trade surveillance program to monitor trading activities for equities/derivatives in Singapore and foreign markets for signs of market abuse, manipulation, insider trading, and other misconduct.
- Conduct daily reviews of trade surveillance alerts generated by surveillance systems, investigate anomalies, document findings, and escalate potential breaches.
- Conduct daily review of alerts generated by e-communication surveillance tools to monitor employee electronic communications for compliance with internal policies and regulatory requirements.
- Review alert parameters/threshold in surveillance to ensure appropriateness and propose any required changes
- Participate in projects on implementation of surveillance systems.
2. Compliance Monitoring & Review
- Maintain and execute the ongoing Compliance Monitoring Programme specific to the capital markets businesses of the Company.
- Conduct Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements.
3. Control Room Operations
- Maintain and update Restricted List, Watch List, Permanent Insider List, and Wall-Crossing List etc.
- Perform conflict of interest checks for investment banking deals.
- Monitor potential conflicts of interest, deal clearances, and ensure appropriate information barriers are maintained between public and private side teams.
- Provide guidance and support to front-office and support functions on Control Room protocols, MNPI handling, and internal escalation procedures.
- Provide clearance for staff personal trading, and conduct monitoring.
4. Core Compliance
- Collate and prepare information/documents for regulatory requests.
- Assist with regulatory reporting.
- Liaise with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX.
- Ensure all compliance correspondences/records and registers are duly tracked and maintained.
- Conduct compliance induction training to new staff and other basic training as may be required by the Head of Compliance.
- Track and follow up with staff on completion of Compliance trainings and declarations.
- Assist with the preparation of compliance reports/KRIs to local management and MIBG.
- Assist with all other ad-hoc tasks as required by the Head of Compliance.
Job Requirements
Requisite
- At least 3 years of experience in performing trade surveillance in Singapore and foreign equities, and familiarity with trade surveillance systems, including, NASDAQ SMARTS, with demonstrated track record.
Other Requirements
- Bachelor's degree in business, finance, accountancy, economics or higher
- At least 6 - 8 years of compliance experience in brokerage firms, fund management companies, or banks.
- Working knowledge of SFA, FAA, other relevant MAS regulations and guidelines and rules of SGX.
- Good working knowledge of PDPA and IRAS Regulations on International Tax such as FATCA and Common Reporting Standards.
- Strong analytical, investigative, and communication skills.
- Good understanding of capital markets, investment banking and business needs.
