Regulatory Compliance Associate, Trade Surveillance

6 days ago

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 innovative solutions that make digital assets a core component of every portfolio, balance sheet, and treasury.
Since our founding in 2017, we have witnessed the potential of digital assets to transform financial markets and the world at large. We exist at the centre of change, successfully navigating three market cycles and bridging institutional and crypto ecosystems.
We work to build trusted partnerships, putting client success and care at the heart of everything that we do.
Responsibilities:

  • Surveillance & Monitoring: Conduct daily reviews of trading activity to identify potential market abuse, insider trading, or manipulative practices
  • Derivatives Oversight: Monitor options and spot activity, with particular attention to unusual trading patterns and potential cross-product manipulation
  • Alert Management: Investigate and resolve surveillance alerts in a timely and accurate manner, escalating cases as appropriate
  • Compliance Support: Assist in ensuring the firm's adherence to regulatory requirements (e.g., ADGM, MAS) and internal policies
  • Data Analysis: Use surveillance tools and reports to detect anomalies, patterns, or suspicious trading behaviors
  • Issue Escalation: Document findings and escalate material issues to Head of Compliance
  • Reporting: Prepare regular management reports and assist with regulatory inquiries, audits, and ad hoc reviews
  • Process Improvement: Contribute to the enhancement of trade surveillance frameworks, including tuning alert parameters, testing new rules, and improving monitoring efficiency
  • Cross-Functional Collaboration: Work closely with trading desks, operations, risk, and legal teams to investigate potential breaches and support compliance initiatives
Requirements
  • Bachelor's degree
  • At least 4 - 6 years of relevant experience in trade surveillance or market abuse investigation
  • Exposure to derivatives markets and their surveillance considerations
  • Familiarity with global market abuse regulations and frameworks
  • Hands-on experience with trade surveillance systems (e.g., Solidus, Eventus)
  • Strong analytical, investigative, and problem-solving skills
  • Excellent communication (written and verbal) and stakeholder management skills
  • Detail-oriented with the ability to manage multiple priorities in a fast-paced environment
  • Proficiency in Microsoft Excel and other data analysis tools; SQL/Python knowledge is a plus
Benefits
The Environment We Offer
As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management.
Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term.
We also provide flexible working arrangement as required and a casual and fun environment to boot #J-18808-Ljbffr

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