Market Surveillance
5 months ago
The candidate will support the Legal, Regulatory and Compliance Department (“LCD”) and reports to the Chief Regulatory Officer.
Key Duties and Responsibilities:
1) Market Surveillance
a) Identify potential market misconduct and other behaviour that impact APEX’s operation of a fair, orderly
and transparent market
b) Review and implement frameworks, policies and procedures to enhance APEX’s trade surveillance and
investigations of market misconduct
c) Perform regular/daily tasks to monitor market activity, including, but not limited to:
(i) Analysis of trading alerts triggered for unusual transactions and orders
(ii) Escalation of suspicious trading behaviour for investigations and/or to the regulators
(iii) Review and update of alert parameters and logic
d) Liaise with regulators and other law enforcement agencies on relevant matters when necessary.
2) Regulatory Compliance
a) Develop and strengthen the compliance culture in APEX and related entities
b) Review and implement policies and procedures to monitor and enhance APEX’s internal controls
c) Ensure APEX’s compliance with regulatory obligations under the Securities and Futures Act, and related
regulations, including, but not limited to, submission of regulatory returns, assessment of potential non-
compliance and breaches, and supporting departments in their compliance needs.
d) Maintain effective communications and relationships with APEX’s regulators, such as the Monetary Authority
of Singapore
3) Corporate Governance
a) Review and implement processes and procedures to strengthen APEX’s internal governance
b) Assist the Corporate Secretary in matters related to corporate governance and the Board of directors
c) Maintain effective communications and relationships with APEX’s shareholders and the Board of
directors
4) Support other related functions undertaken by LCD, including review of whistleblowing complaints and
disciplinary breaches.
Requirements:
- University degree from reputable institutions.
- At least 3 years’ relevant working experience in derivatives trading compliance or derivatives trading surveillance. Investigation/law enforcement background is a plus.
- Team player with good writing, communication and interpersonal skills, including excellent Chinese proficiency.
- IT literacy and ability to work with large datasets are preferred.
Tell employers what skills you have
Licensing
Internal Investigations
Microsoft Office
Corporate Governance
Microsoft Excel
Derivatives
Regulatory Compliance
Literacy
Interpersonal Skills
Derivatives Trading
Enforcement
Risk Management
Surveillance
Compliance
Writing
Team Player
Communications
Regulatory Requirements
Financial Services
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