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*NEW* 18 Months Compliance and Control Manager - Banks

Job description

Job Duties:

  • Timely analysis and resolution of trade surveillance alerts to identify any high risk or suspicious trading activities across different asset classes
  • Conduct electronic communication and audio surveillance to identify potential non-compliance with laws, regulations, and Compliance policies.
  • To support projects as well as ongoing enhancements/initiatives.
  • Liaise with the regional surveillance teams and other stakeholders, e.g. Technology to conduct UAT/testing of strategic surveillance platforms.
  • Provide deep dive investigations and identify any potential compliance and conduct risk issues
  • Assist in the preparation of periodic management information reports (MI) on surveillance.
  • Assists in audits and inspections where required.
  • Support and provide guidance to more junior members within the APAC Compliance Surveillance team.
  • Other ad hoc duties as assigned

Job Requirements:

  • Candidate must possess at least a Bachelor's Degree, Post Graduate Diploma, Professional Degree, any field.
  • Strong knowledge of FX, Fixed Income securities and/or derivatives products.
  • Experience in using/implementing trade surveillance tools (either in-house or third party vendor)
  • Highly IT literate - including Microsoft Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment.

Interested applicants please send your resume in MS Words format to and attn it to Tan Joanna (R1104661).

Short listed candidates will be notified

EA Registration Number: R1104661

Data provided is for recruitment purposes only

Business Registration Number: 200611680D. Licence Number: 10C5117

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