AVP/VP, Compliance

• Execute trade surveillance program to monitor trading activities for equities/derivatives in Singapore and foreign markets for signs of market abuse, manipulation, insider trading, and other misconduct.
• Conduct daily reviews of trade surveillance alerts generated by surveillance systems, investigate anomalies, document findings, and escalate potential breaches.
• Conduct daily review of alerts generated by e-communication surveillance tools to monitor employee electronic communications for compliance with internal policies and regulatory requirements.
• Review alert parameters/threshold in surveillance to ensure appropriateness and propose any required changes
• Participate in projects on implementation of surveillance systems.

2. Compliance Monitoring & Review

• Maintain and execute the ongoing Compliance Monitoring Programme specific to the capital markets businesses of the Company.
• Conduct Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements.

3. Control Room Operations

• Maintain and update Restricted List, Watch List, Permanent Insider List, and Wall-Crossing List etc.
• Perform conflict of interest checks for investment banking deals.
• Monitor potential conflicts of interest, deal clearances, and ensure appropriate information barriers are maintained between public and private side teams.
• Provide guidance and support to front-office and support functions on Control Room protocols, MNPI handling, and internal escalation procedures.
• Provide clearance for staff personal trading, and conduct monitoring.

4. Core Compliance

• Collate and prepare information/documents for regulatory requests.
• Assist with regulatory reporting.
• Liaise with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX.
• Ensure all compliance correspondences/records and registers are duly tracked and maintained.
• Conduct compliance induction training to new staff and other basic training as may be required by the Head of Compliance.
• Track and follow up with staff on completion of Compliance trainings and declarations.
• Assist with the preparation of compliance reports/KRIs to local management and MIBG.
• Assist with all other ad-hoc tasks as required by the Head of Compliance.

Job Requirements

Requisite

• At least 3 years of experience in performing trade surveillance in Singapore and foreign equities, and familiarity with trade surveillance systems, including, NASDAQ SMARTS, with demonstrated track record.

Other Requirements

• Bachelor's degree in business, finance, accountancy, economics or higher
• At least 6 - 8 years of compliance experience in brokerage firms, fund management companies, or banks.
• Working knowledge of SFA, FAA, other relevant MAS regulations and guidelines and rules of SGX.
• Good working knowledge of PDPA and IRAS Regulations on International Tax such as FATCA and Common Reporting Standards.
• Strong analytical, investigative, and communication skills.
• Good understanding of capital markets, investment banking and business needs.

Seniority level

• Seniority level Associate

Employment type

• Employment type Full-time

Job function

• Job function Other
• Industries Investment Banking

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