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Surveillance AVP, Compliance
4 months ago
Charterhouse Partnership is currently sourcing for a Surveillance VP for an Investment Bank. Reporting to the Head of Surveillance, you will monitor and analyse the sales, trading and banking activities conducted by the business.
Responsibilities:
The incumbent will carry out monitoring of transactions and electronic communications to identify potential instances of market manipulation.
You will ensure that surveillance activities adhere to established procedures and frameworks, following escalation processes, and resolving all issues promptly. You will be tasked to perform all the necessary investigation on flagged trades.
Being the pioneer in the team, you will participate in projects related to Trade and Communication Surveillance. You will assist in fine tunning the systems and perform user acceptance testing.
Requirements:
- Familiarity with both local and global regulations and industry norms pertaining to market abuse surveillance.
- Proficient understanding of various asset classes, with a preference for experience in Fixed Income and FX products.
- Self-motivated and capable of working autonomously.
- Exceptional verbal and written communication abilities.
- Robust analytical and problem-solving capabilities.
- Effective project management aptitude.
For more information on the above position, or to discuss the compliance market in general, please reach send your CV to Xuan Kwok at or call for a confidential discussion.
EA License no: 16S8066 Reg no.: R
Only successful candidates will be notified.
