Market Compliance Officer/ Trade Surveillance

4 days ago

Singapore KS CONSULTING PTE. LTD. Full time

Are you ready to take your career to the next level in the dynamic world of finance? Our client, a bank is seeking a Markets Compliance Officer to join their team, located on the bustling trading floor, where you'll play a crucial role.

**Responsibilities Include:
- 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.

  • Analyst, Trade and Market Surveillance

    2 weeks ago

    Singapore Gemini Trust Company Full time

    **About the Company** Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted...

  • Regulatory Compliance Associate, Trade Surveillance

    2 weeks ago

    Central Singapore QCP Full time

    QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios. We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics. Driven by the vision to be the most trusted partner in digital asset markets, we provide...

  • Compliance (Trade Surveillance), Securities Trading / Brokerage Firm

    6 days ago

    Singapore AMETHYST ASIA PARTNERS PTE. LTD. Full time

    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...

  • Markets Compliance

    4 days ago

    Singapore COMMERZBANK AKTIENGESELLSCHAFT Full time

    **Job purpose**: **Key activities**: 2. Review and investigations of voice communications from sales and trading staff. 3. Review and investigations trade surveillance alerts. 4. Reviewing/improving the surveillance scenarios 5. Implementing employee Personal Account Dealing (PAD) controls and monitoring PAD activities. 6. Draft/update policies and...

  • Vp, Compliance Surveillance and Monitoring

    1 week ago

    Singapore GIC Investment Full time

    **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,...

  • Trade Surveillance Specialist

    1 week ago

    Singapore STRIVEX PTE. LTD. Full time

    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...

  • Grm-co Markets Compliance Officer

    6 days ago

    Singapore COMMERZBANK AKTIENGESELLSCHAFT Full time

    **Job purpose**: This is a role for a junior Markets Compliance officer (2 year contract) to support the Markets Compliance team in the Singapore branch. The Markets Compliance team is primarily responsible for advising the branch on regulated activities carried out by the Treasury and the Capital Markets sales and trading teams for Fixed Income,...

  • Trade Surveillance Specialist

    1 week ago

    Singapore StriveX Full time

    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...

  • Compliance Officer, Trade

    2 days ago

    Singapore PERSOL APAC Full time $60,000 - $120,000 per year

    Key Responsibilities:To perform Trade and Communication surveillance review for GFM.Assist the team in the implementation/testing of trade surveillance programme of GFM for Project MASSAssist and support other members of Compliance staff where required.Assist in collating data for production orders, inquiries, management reporting and improving surveillance...

  • Head of Market Surveillance

    3 days ago

    Singapore ASIA DIGITAL EXCHANGE PTE. LTD. Full time

    **ABOUT Us AsiaNext is a trusted digital exchange for institutional investors in Asia and globally. It will offer integrated listing, trading, and post-trade services for digital assets, including digital payment tokens. The joint venture between the SBI Group in Japan and SIX Group AG in Switzerland will provide an institutional-grade platform to enable the...