Vp/director, Front Office Conduct Surveillance

1 week ago

Singapore Hays Full time

**Your new company**
My client, one of the market leaders in the banking sector, is currently looking for a VP/Director, Front Office Conduct Surveillance (FOCS) to work in their flagship Singapore office.

**Your new role**
Reporting to Head of Front Office Conduct Surveillance (APAC), you will be responsible on:

- Daily monitoring of Front Office activity to ensure that all relevant rules, regulations, group policies and procedures are adequately followed. The scope of FOCS monitoring encompasses E-communications, Voice calls and Trades
- Investigation of alerts, clearing of false positives and timely processing of true positives for further analysis
- Escalation of potential breaches according to severity to the relevant management level and/or to Compliance (acting as 2nd Line of Defence (2LOD)
- Close coordination with Compliance for the performance of Calibration (BLT) and Quality Assurance (QA) reviews and Permanent Challenge (PC)
- Design, test and deploy new controls to address emerging risks; Work in close collaboration with IT to design, test and deploy new surveillance tools and benefit from the addition of new technologies to improve the efficiency of the control framework
- Precise and accurate documentation of the investigation results and record in the case management tool for audit purposes; close coordination with internal or external audit teams in the context of reviews of the activity
- Front Office Trainings: raise Front office awareness on Conduct risks, permanent Control and policies through dedicated business oriented training sessions

**What you'll need to succeed**
- Good understanding of financial markets products
- Prior experience in CIB activities and Financial markets (Rates, FX and/or Credit): 5-7 years of experience in the Front Office (Sales/Trading/ Investment Banking), Middle Office, or related Control, Audit, Compliance background relating to Global Markets trading activities or Investment Banking activities
- Good understanding of Conduct risk and market misconduct concepts; prior experience in the utilization or design of surveillance tools, trading systems would be a plus
- Basic skills in coding (Python) and/or data analytics would be a plus

**What you need to do now**

Alternatively, if this job opportunity is not relevant to you, feel free to share across your updated CV to have a confidential discussion on the relevant openings based on your skillsets and expertise.

EA Reg Number: R22104725

EA License Number: 07C3924

Company Registration No: 200609504D #1242101

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