Compliance Officer, Compliance

Key Areas of Responsibilities

• General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation
• Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary
• Drive continuous improvement of the surveillance framework including refinement and calibration
• Contribute 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
• Assist in the production of effective management information reports for Senior Management
• Contribute to team discussions, investigations and knowledge acquisition
• Good understanding of the trade surveillance terminologies and types of market manipulations
• Candidate should be flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm Surveillance

Requirements

• Attention to detail and process oriented
• Investigative skills and flexible to learn other aspects of compliance
• Proficient in Word and Excel
• Good prioritization, organizational and multi-tasking skills
• Self-motivated, desire to be challenged and eager to learn
• Experience in building relationships with stakeholders’ Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
• 4 to 7 years of experience