Compliance (Trade Surveillance), Securities Trading / Brokerage Firm

Our client is a regional securities brokerage firm that they provide fully integrated services to clients to access forex, futures, options, commodities, derivatives products etc. As the business continues to grow, they are looking for Senior Executive, Compliance and the role is based in Singapore. Key Responsibilities - Work as a team to provide...

Posted by: Sam Dakin Managing Director View profile & contact - Real-time trade monitoring to detect unusual trading activities, prohibited trading practices or misconducts (using SMARTS) - Investigating suspected misconduct such as insider trading and market manipulation. Present findings/results to senior management. - Monitor compliance with MAS SFA and...

L- Posted by - Loretta Chan- Director Our client is a securities trading / brokerage firm with a strong track record in the region. As the business continues to grow they are looking for a Compliance Manager and the role is based in Singapore. Key responsibilities: - Cover a full spectrum of Compliance scope includes regulatory compliance, internal...

Upload/ process trades after market closure (all markets). Resolve trade issues before exchanges’ cut-off time. Perform trade amendment. Maintain brokerage/ commission rate setup in back office system. Maintain instrument data in back office system. Liaise with foreign brokers on trade-related matters. Post journal entries into the back office system....

Upload/ process trades after market closure (all markets). Resolve trade issues before exchanges' cut-off time. Perform trade amendment. Maintain brokerage/ commission rate setup in back office system. Maintain instrument data in back office system. Liaise with foreign brokers on trade-related matters. Post journal entries into the back office system....

A reputable quant investment firm is looking to hire a newly created headcount that will cover both legal & compliance functions. The role will focus on Singapore to begin with and expand towards Hong Kong in the near future and potentially other locations within the APAC region. Some of the key responsibilities will include: Legal - Provide legal advice on...

S- Posted by - Suhani Malhotra- RecruiterExcellent opportunity to join a well-reputed international firm. The role sits within the Risk team in Singapore and has a direct reporting line to the International Head. The role will support in monitoring of trade activities and has an APAC coverage. The role will start off with monitoring of day to day...

Excellent opportunity to join a well-reputed international firm. The role sits within the Risk team in Singapore and has a direct reporting line to the International Head. The role will support in monitoring of trade activities and has an APAC coverage. In terms of career progression this role will start off with monitoring of day to day transactions that...

Associate Director – Trading Practices Compliance Barings invites you to apply for the Associate Director – Trading Practices Compliance role in its Singapore Compliance business unit. The position focuses on day‑to‑day surveillance and oversight of the firm’s trading functions, the assessment of trading risk, and the enforcement of trading policy...

**Location**: Singapore, SG Job Function: Legal & Compliance **Job Type**: Permanent Req ID: 12961 **Legal and Compliance Department** The Legal and Compliance Department (LCD) manages the legal, regulatory and compliance risks for GIC, and partners with the business to ensure that legal, regulatory and compliance issues and risks are identified,...