Maybank Securities is a leading brokerage house and investment bank in ASEAN. Maybank Securities provides services in corporate finance, debt markets, equity capital markets, derivatives, retail and institutional securities broking and research.
This is a Compliance role with a primary focus on Trade Surveillance and e-Communication Surveillance, supporting the Company's capital markets businesses across equities and derivatives in Singapore and foreign markets. The role also covers Compliance Monitoring, Control Room operations, and core compliance activities.
Key Responsibilities
1. Trade Surveillance & e-Communication Surveillance
- Execute the trade surveillance programme to monitor trading activities across equities and derivatives in Singapore and overseas markets for potential market abuse, market manipulation, insider trading, and other misconduct.
- Perform daily reviews of trade surveillance alerts generated by surveillance systems, investigate anomalies, document findings, and escalate potential breaches in accordance with internal procedures.
- Conduct daily reviews of alerts generated by e-communication surveillance tools to monitor employee electronic communications for compliance with internal policies and regulatory requirements.
- Review and assess surveillance alert parameters and thresholds to ensure continued appropriateness and effectiveness, and recommend enhancements where required.
- Participate in projects relating to the implementation, enhancement, or optimisation of surveillance systems.
2. Compliance Monitoring & Review
- Maintain and execute the ongoing Compliance Monitoring Programme for the Company's capital markets businesses.
- Conduct compliance desk reviews and thematic reviews based on emerging risks, regulatory developments, or management directives.
3. Control Room Operations
- Maintain and update the Restricted List, Watch List, Permanent Insider List, Wall-Crossing List, and other Control Room registers.
- Perform conflict-of-interest checks for investment banking transactions and deal mandates.
- Monitor potential conflicts of interest, manage deal clearances, and ensure effective information barriers between public-side and private-side teams.
- Provide guidance and support to front-office and support functions on Control Room procedures, handling of material non-public information (MNPI), and internal escalation protocols.
- Review and provide clearance for staff personal trading activities and conduct ongoing monitoring.
4. Core Compliance
- Collate and prepare information and documentation for regulatory requests and inquiries.
- Assist with regulatory reporting and submissions to MAS, SGX, and other relevant authorities.
- Liaise with internal stakeholders to complete regulatory surveys, forms, and questionnaires.
- Ensure compliance records, correspondences, and registers are properly maintained and tracked.
- Conduct compliance induction training for new hires and support other compliance training initiatives as required.
- Track and follow up on staff completion of mandatory compliance training and declarations.
- Assist in the preparation of compliance reports and key risk indicators (KRIs) for local management and MIBG.
- Support ad-hoc compliance tasks as assigned by the Head of Compliance.
Requirements
- At least 7 years of hands-on experience in performing trade surveillance across Singapore and foreign markets, covering multiple asset classes.
- Strong familiarity with trade surveillance systems, including NASDAQ SMARTS, with a demonstrated track record in alert investigation and escalation.
- Bachelor's degree in Business, Finance, Accountancy, Economics, or a related discipline.
- 812 years of compliance experience within capital markets firms or banks.
- Candidates with people management or team leadership experience will be considered for a surveillance team lead role.
- Working knowledge of the Securities and Futures Act (SFA), Financial Advisers Act (FAA), relevant MAS regulations and guidelines, and SGX rules.
- Strong analytical, investigative, and communication skills.
- Good understanding of capital markets, investment banking activities, business needs, and industry best practices.
- Candidates with prior trade surveillance, market supervision, or securities enforcement experience at a regulator, exchange, or enforcement agency are welcome to apply.
We regret that only shortlisted candidates will be notified.
