Associate - Compliance, Monitoring and Surveillance

**Company overview** Aon's Benefit Index ®, Nomura's benefits **rank** **#1** amongst our competitors **Function Overview**: The AEJ Monitoring and Surveillance Compliance team is responsible to implement systems and controls to detect potential market abuse/misconduct activities as well as internal Compliance policy breaches throughout the Asia-Ex-Japan...

Key Skills and QualificationsTo be successful as a Compliance Risk Manager at TANGSPAC CONSULTING PTE LTD, you must possess the following skills and qualifications:Basic bachelor's degree;5-9 years of relevant experience in monitoring & surveillance or tax, preferably in a Singapore private bank;Keen interest to learn and perform Monitoring & Surveillance...

**About Our Client**: Our client is a global leader in securities and trading, recognized for their excellence in regulatory compliance and innovation. They are seeking a Market surveillance specialist to drive their compliance initiatives and ensure adherence to financial regulations for their Singapore office. **Key Responsibilities**: - Identify and...

SS&C is a global provider of investment and financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial services and healthcare...

**Main Responsibilities**: - Conducts Surveillance Detection (SD) operations as a member of a tactical team of SD personnel. - Responsible for conducting SD within assigned area, identifying suspicious activity and/or possible surveillance. - Responsible for observing, recognizing, and reporting potential surveillance and other suspicious incidents directed...

Business FunctionGroup Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and...

My Client Polymer is a market-neutral, multi-manager investment platform based in and focused on Asia. He combines established institutional support and deep knowledge of local financial markets with a dedication to discovering and developing the region's best investment talent. He was established in conjunction with PAG, one of the world's largest...

**Your new company** You will be working with a fast paced, established foreign investment bank as part of the Surveillance Analyst. **Your new role** - Performs daily supervisory and trade based surveillance reviews to ensure adherence to Firm's policy and procedures including but not limited to selling process and suitability, fees monitoring, best...

The role of the Sales Surveillance Officer reports to Lead, Sales Surveillance. You are required to support the Lead of Sales Surveillance in administering the conduct risk framework and administering the Balanced Scorecard framework and sales advisory standards for the company. You are also required to perform investigation of any sales conduct related...

**JOB RESPONSIBILITIES: - ** - Perform fact find and transaction surveillance reviews on suspicious transactions generated from Transaction Monitoring System in accordance with the targeted turnaround time; - Perform peer quality check/review on activities carried out by other analysts as and when required by the supervisors; - Maintain relevant records...

Our client, a leading financial services company is looking to hire a Markets Compliance professional having solid experience in FICC and having a good understanding of Banking Act, Securities and Futures Act, Bluebook, FX Global Code. **Responsibilities**: - Monitoring regulatory changes impacting the FICC business and the branch. - Advising front office...

BitMEX is the world's leading cryptocurrency derivatives trading platform, which has pioneered cryptocurrency trading through relentless commitment to change, and continues to set benchmarks for innovation, liquidity, and security today. As the world's most advanced peer-to-peer crypto-products trading platform and API, BitMEX gives knowledge, confidence,...

Prudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...

Business FunctionGroup Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and...

You will support the implementation of the Bank’s Compliance program, controls, checks and processes to ensure that the Bank is compliant with the relevant guidelines and regulations. You will assist in all matters concerning financial crime in coordination with the AML function to ensure undisrupted support to the business and the bank, as required. You...

At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive remuneration packages, we offer non-financial benefits and...

We are looking for a high caliber professional to join our team as MYS CTSM KL - Sales Surveillance Senior Analyst (Wealth Management) - Japanese Language based in Kuala Lumpur, Malaysia.This role will be responsible for supporting the team lead in managing the Sales Surveillance review in the Kuala Lumpur Hub where the Investment, Insurance and FX sales...

**AVP - Risk Analytics, Intelligence & Surveillance/ Risk Analyst or Senior Risk Analyst** **-** **(**220001FX**)** Key Responsibilities Risk Analytics, Intelligence & Surveillance (RAISe) is a unit set up within Singapore Consumer Financial Services (CFS) reporting into Group Head, CFS Risk and Prevention (R&P). RAISe team is tasked to put in place a...

**Your team**: - Pictet Asset Management manages the assets of some of the world’s largest institutions, financial intermediaries and their clients.- Our culture welcomes independent thinkers and centres around investment excellence, a long-term perspective and a dedication to client service.**Your role**: - Assist Head of Compliance with reporting,...

**AVP/VP Member Supervision & Market Surveillance - Central, Singapore** An established derivatives/digital assets exchange is seeking a Member Supervision & Market Surveillance professional. You will be given an exciting opportunity to work closely with the Head of Legal & Compliance to manage the regulatory compliance, member supervision & market...