AVP, Compliance, Trade Surveillance

About the Company

Our client is an established financial services institution with a strong presence across Asia, offering a broad range of capital markets and investment banking services to institutional and retail clients. The business operates across multiple products and markets, providing a dynamic environment with exposure to sophisticated trading and financial markets activities.

Responsibilities

This is a broad-based Compliance role with a primary focus on Trade Surveillance and e-Communication Surveillance across equities and derivatives, alongside responsibilities spanning compliance monitoring and Control Room activities. The successful candidate will investigate potential market misconduct, oversee surveillance controls and support regulatory requirements while partnering closely with front-office and control functions.

Requirements

The ideal candidate will have 6-8 years of Compliance experience within Capital Markets or Banking, including at least 3-4 years of hands-on trade surveillance experience across multiple asset classes and markets. Strong knowledge of Singapore securities regulations, surveillance systems and capital markets activities is essential, while candidates from regulatory, exchange or securities enforcement backgrounds are also encouraged to apply for a confidential discussion.

For a confidential discussion, please submit your resume to Eugene Lim at [Confidential Information], quoting the job title and reference number EL 36615. We regret that only shortlisted applicants will be contacted.

L/N 16S8060
R/N 1108592