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Trade Surveillance Specialist
2 months ago
Job Summary:
We are seeking a highly skilled Trade Surveillance Specialist to join our team at RECRUIT EXPRESS PTE LTD. As a Trade Surveillance Specialist, you will be responsible for ensuring the integrity of our trading activities and identifying potential risks and breaches.
Key Responsibilities:
- Act as an internal controller under the Operational Permanent Control (OPC) framework for Wealth Management, covering both Hong Kong and Singapore.
- Perform Key Surveillance Points (KSP controls) related to subject matters addressed by your domain, in compliance with the Control Plan.
- Collate raw data and information, and gather relevant information from internal stakeholders to perform preparatory works, including data analysis and sampling selection.
- Assess the quality of internal processes and procedures in relation to the subject matter covered by the KSPs, adopting a risk-based approach.
- Investigate the root cause of deviations and propose relevant remediation actions, in collaboration with internal stakeholders and the Domain Lead.
- Ensure proper and detailed documentation of control preparation, execution, and results.
- Provide regular reporting to the Domain Lead, the Head of Permanent Controls WM APAC, and the management of WM APAC on the overall level of risk and outcome of KSP controls.
Requirements:
- Strong understanding of trade surveillance and risk management principles.
- Excellent analytical and problem-solving skills.
- Ability to work independently and as part of a team.
- Strong communication and interpersonal skills.
- Proficiency in audit tools and sampling techniques.
About Us:
RECRUIT EXPRESS PTE LTD is a leading recruitment agency specializing in financial services and risk management. We are committed to providing our clients with the best talent in the industry.
