KEY ACCOUNTABILITIES
Crisil’s client – A Singapore based asset manager is seeking an experienced Trade and Electronic Communications Surveillance Analyst. The candidate will be responsible for monitoring and analysing trading activity and electronic communications to ensure compliance with regulatory requirements and Client’s internal policies.
RESPONSIBILITIES
- Support trade surveillance, primarily focusing on regulatory and internal market conduct and best execution requirements.
- Monitor electronic communications, such as email, instant messaging, chats, and voice to identify potential compliance issues
- Review and analyse trade and communications patterns and trends to detect potential violations of laws and regulations as well as internal policies
- Support Compliance investigations by performing forensic analysis of trade and electronic communications
- Work together with the Local Business Unit (LBU) Compliance teams to stay up to date with regulatory developments and industry best practices related to trade surveillance and electronic communications across the region.
- Help develop and execute policies and procedures for trade and electronic communications surveillance, in coordination with relevant stakeholders. Partner with LBU Compliance teams to create guidance and enforce an efficient and effective surveillance program.
- Ensure that regulatory and/or internal alert thresholds are regularly reviewed and involve relevant business stakeholders across the region to ensure their ongoing relevance. Additionally, oversee the management of alerts and rules.
- Support LBU Compliance investigations to determine the nature, scope, and materiality of the violations as well as any subsequent reporting to the relevant regulators.
- Responsible for ensuring accurate record-keeping of all trading and electronic communications surveillance activities and investigations, in compliance with both internal and regulatory requirements for record retention.
- Delivering insightful and informative MI reports to Management and LBU Compliance regarding the outcomes of trade and electronic communications surveillance activities.
- Support implementation of the integrated trade and electronic communications surveillance system.
EXPERIENCE / QUALIFICATIONS
- Minimally a Bachelor’s degree in Finance, Economics, Business, Data Analysis, or related field.
- 2-4 years of experience in Compliance, Risk Management, or a related field, with experience in trade and electronic communications surveillance
- Strong knowledge of regulatory requirements and industry best practices related to Trade and Electronic Communications Surveillance. Asset management industry experience will be considered an advantage.
- Excellent analytical skills and attention to detail
- Ability to work independently and as part of a team
- Strong written and verbal communication skills
- Ability to maintain confidentiality and handle sensitive information
- Comfortable with supporting AI deployment, on-going monitoring, and maintenance
Roles and Responsibilities KEY ACCOUNTABILITIES
Crisil’s client – A Singapore based asset manager is seeking an experienced Trade and Electronic Communications Surveillance Analyst. The candidate will be responsible for monitoring and analysing trading activity and electronic communications to ensure compliance with regulatory requirements and Client’s internal policies.
RESPONSIBILITIES
- Support trade surveillance, primarily focusing on regulatory and internal market conduct and best execution requirements.
- Monitor electronic communications, such as email, instant messaging, chats, and voice to identify potential compliance issues
- Review and analyse trade and communications patterns and trends to detect potential violations of laws and regulations as well as internal policies
- Support Compliance investigations by performing forensic analysis of trade and electronic communications
- Work together with the Local Business Unit (LBU) Compliance teams to stay up to date with regulatory developments and industry best practices related to trade surveillance and electronic communications across the region.
- Help develop and execute policies and procedures for trade and electronic communications surveillance, in coordination with relevant stakeholders. Partner with LBU Compliance teams to create guidance and enforce an efficient and effective surveillance program.
- Ensure that regulatory and/or internal alert thresholds are regularly reviewed and involve relevant business stakeholders across the region to ensure their ongoing relevance. Additionally, oversee the management of alerts and rules.
- Support LBU Compliance investigations to determine the nature, scope, and materiality of the violations as well as any subsequent reporting to the relevant regulators.
- Responsible for ensuring accurate record-keeping of all trading and electronic communications surveillance activities and investigations, in compliance with both internal and regulatory requirements for record retention.
- Delivering insightful and informative MI reports to Management and LBU Compliance regarding the outcomes of trade and electronic communications surveillance activities.
- Support implementation of the integrated trade and electronic communications surveillance system.
EXPERIENCE / QUALIFICATIONS
- Minimally a Bachelor’s degree in Finance, Economics, Business, Data Analysis, or related field.
- 2-4 years of experience in Compliance, Risk Management, or a related field, with experience in trade and electronic communications surveillance
- Strong knowledge of regulatory requirements and industry best practices related to Trade and Electronic Communications Surveillance. Asset management industry experience will be considered an advantage.
- Excellent analytical skills and attention to detail
- Ability to work independently and as part of a team
- Strong written and verbal communication skills
- Ability to maintain confidentiality and handle sensitive information
- Comfortable with supporting AI deployment, on-going monitoring, and maintenance
