This role supports the Legal, Regulatory, and Compliance Department in ensuring market integrity, regulatory compliance, and strong corporate governance. The candidate will be responsible for market surveillance, managing compliance with the Securities and Futures Act, liaising with regulators, and supporting governance processes. It is a hands-on role requiring strong analytical, communication, and compliance skills, with a focus on derivatives trading oversight.
1) Market Surveillance
- Identify potential market misconduct and other behaviors that may impact the fair, orderly, and transparent operation of the market.
- Review and implement frameworks, policies, and procedures to enhance trade surveillance and investigations into market misconduct.
- Perform daily/regular monitoring of market activity, including:
- Analyzing trading alerts triggered by unusual transactions and orders.
- Escalating suspicious trading behavior for investigations and/or to regulators.
- Reviewing and updating alert parameters and logic.
- Liaise with regulators and law enforcement agencies on relevant matters as required.
2) Regulatory Compliance
- Develop and strengthen the organization's compliance culture.
- Review and implement policies and procedures to monitor and enhance internal controls.
- Ensure compliance with regulatory obligations under the Securities and Futures Act and related regulations, including:
- Preparing and submitting regulatory returns.
- Assessing and addressing potential non-compliance and breaches.
- Supporting internal departments in their compliance requirements.
- Maintain strong communication and working relationships with regulators, such as the Monetary Authority of Singapore (MAS).
3) Corporate Governance
- Review and implement processes to strengthen internal governance frameworks.
- Assist the Corporate Secretary on matters relating to corporate governance and the Board of Directors.
- Maintain effective communications and relationships with shareholders and the Board.
Requirements
- Minimum 2 years relevant experience in derivatives trading compliance or derivatives trading surveillance.
- Background in investigations or law enforcement will be an advantage.
If you're interested in the above role, click on the apply function now! Alternatively, you can contact Hao Yi at [Confidential Information] for a confidential discussion. Only shortlisted candidates will be notified.
Morgan McKinley Pte Ltd | EA Licence No: 11C5502 | EA Registration No. R21100351
