Markets Compliance/ Trade
5 days ago
**Responsibilities**:
- Surveillance Expertise: Manage branch's trade and communications surveillance program, utilizing automated surveillance systems to investigate alerts and potential misconduct.
- System Enhancement: Fine-tune and test surveillance systems to optimize alert quality and detection capabilities.
- Investigation and Documentation: Collaborate with the team lead to investigate, escalate, and document suspicious activities as needed.
- Representation and Reporting: Act as the face of the branch in monthly meetings and projects with head office and contribute to monthly management reporting and surveillance statistics.
- Collaborative Work: Interact with Front Office sales and traders, Head Office compliance and IT colleagues, and other bank departments when necessary.
- Training and Policy Updates: Train colleagues on surveillance system usage and update related policies, addenda, and procedures.
- Diverse Responsibilities: Support Personal Account Dealing (PAD) controls and investigations, new product approvals, audits, inspections, and handling outsourcing matters in the department.
- Growth Opportunities: Depending on your aptitude, there are opportunities to expand into other areas within Markets Compliance, such as licensing, advisory, desk reviews, regulatory changes, and more.
**Qualifications**:
- Education: A Polytechnic diploma or university degree.
- Experience: 2-5 years in trade and communications surveillance roles, covering Global Markets/Investment Banking and FICC products. Basic understanding of relevant regulatory frameworks.
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