Job
Description
You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on potential insider trading and market manipulation. Your key responsibilities will include: - Investigating and closing out monitoring alerts thoroughly and in a timely manner - Ensuring that significant issues identified are fully investigated and promptly escalated when necessary - Driving continuous improvement of the surveillance framework through refinement and calibration - Contributing to the implementation of strategic department projects, including global and regional initiatives - Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation - Assisting in the production of effective management information reports for Senior Management - Contributing to team discussions, investigations, and knowledge acquisition - Demonstrating a good understanding of trade surveillance terminologies and types of market manipulations - Being flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm Surveillance Qualifications required for this role include: - A Bachelor's or Master's degree in Commerce and Finance/Banking - 6-10 years of relevant experience in handling compliance tasks; candidates with less experience will be considered for an Associate position - Experience in building relationships with stakeholders - Strong analytical skills, ability to handle multiple tasks simultaneously, and work under tight deadlines - Familiarity with SMARTS / Complysci, PTCC - Capability to independently investigate and review alerts generated by the SMARTS surveillance system end-to-end - Experience in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies - Comfort in engaging the external surveillance vendor at a technical level to resolve production issues or advocate for system/control design changes - Strong compliance mindset, confidence to question the status quo, and challenge stakeholders when responses are not satisfactory - Investigative skills and willingness to learn other aspects of compliance - Attention to detail and process orientation - Self-motivated, desire to be challenged, and eager to learn - Proficiency in Word and Excel - Good prioritization, organizational, and multi-tasking skills - Strong interpersonal skills and excellent written/oral communication skills - Previous people management experience is preferable You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on potential insider trading and market manipulation. Your key responsibilities will include: - Investigating and closing out monitoring alerts thoroughly and in a timely manner - Ensuring that significant issues identified are fully investigated and promptly escalated when necessary - Driving continuous improvement of the surveillance framework through refinement and calibration - Contributing to the implementation of strategic department projects, including global and regional initiatives - Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation - Assisting in the production of effective management information reports for Senior Management - Contributing to team discussions, investigations, and knowledge acquisition - Demonstrating a good understanding of trade surveillance terminologies and types of market manipulations - Being flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm Surveillance Qualifications required for this role include: - A Bachelor's or Master's degree in Commerce and Finance/Banking - 6-10 years of relevant experience in handling compliance tasks; candidates with less experience will be considered for an Associate position - Experience in building relationships with stakeholders - Strong analytical skills, ability to handle multiple tasks simultaneously, and work under tight deadlines - Familiarity with SMARTS / Complysci, PTCC - Capability to independently investigate and review alerts generated by the SMARTS surveillance system end-to-end - Experience in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies - Comfort in engaging the external surveillance vendor at a technical level to resolve production issues or advocate for system/control design changes - Strong compliance mindset, confidence to question the status quo, and challenge stakeholders when responses are not satisfactory - Investigative skills and willingness to learn other aspects of compliance - Attention to detail and process orientation - Self-motivated, desire to be challenged, and eager to learn - Proficiency in Word and Excel - Good prioritization, organizational, and multi-tasking skills - Strong interpersonal skills and excellent written/or
