VP, Compliance Surveillance

Our client is a reputable investment manager, looking for Compliance Surveillance professional to join their team in Singapore at VP level.

In this role, you will be responsible for:

• Analysis and resolve trade and e-communication surveillance alerts to identify high risk or suspicious trading activities or non-compliance with laws and regulations
• Monitor employees' personal trading activities and implement a robust compliance surveillance program and procedures
• Implement other compliance monitoring processes and attend to regulatory inquiries
• Coordinate with the vendors and Tech team to implement new or enhance the existing surveillance platforms and controls
• Ensure the surveillance programs are updated by monitoring the changes in the firm's trading activities and global regulatory developments

Requirements:

• Min. Bachelor Degree
• At least 10 years' trade, communications or market surveillance experience in securities exchange or regulators
• Strong knowledge of the financial markets and asset classes such as Fixed Income, Equities, FX, Derivatives, Commodities
• Problem solving and investigation skills

If you believe you fit the requirements for the role, please click APPLY NOW or send an email to Selicia.low@ambition.com.sg with your latest CV. Note: We regret that only shortlisted candidates will be notified.

Data provided is for recruitment purposes only. Business License Number: 200611680D. EA Registration Number: R1767640

If this job isn't quite right for you, but you know someone who would be great at this role, why not take advantage of our referral scheme? We offer SGD1,000 or SGD350 in shopping vouchers for every referred candidate who we place in a role. Terms & Conditions Apply. https://www.ambition.com.sg/refer-a-friend