Work from Office
Full Time
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
Bachelor s or master s in commerce and finance/Banking.
Minimum 4 to 7 years of relevant experience in compliance.
Candidate less than the above experience would be considered for Analyst position
Familiarity with SMARTS / Complysci, World Check screenings and PTCC.
Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
Strong analytical skills, should be detailed and process oriented
Comfortable engaging the external surveillance vendor at the 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 the responses are not satisfactory.
Quick learner who is interested in learning different compliance aspects
Good relationship management with the stakeholders, ability to handle pressure and efficient for multiple tasking.
Should be self-motivated.
A computer proficient with good knowledge of word, Excel and power point presentations
Good interpersonal skills and excellent written/oral communication skills.
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