The Trade Surveillance Professional is responsible for monitoring relevant Business Units’ compliance with laws, regulations, rules and internal policies and procedures. This role is also responsible for Licensing, Employee Trading, Regulatory Inquiries and Corporate Disclosures.
An attractive career development opportunity
An international Investment Banking Group
Regional role
Responsibilities:
Assist in coordinating global surveillance strategy and assess local requirements.
Coordinate with local Compliance coverage teams in Asia Pacific (ex-Japan) to ensure consistency with global strategies and implementation of global initiatives.
Assess adequacy and effectiveness of surveillance for different business units and identify areas requiring enhancements.
Execute surveillance programs and supervise team members.
Review and analyze daily surveillance reports and vendor surveillance system alerts, complete relevant supervisory reporting, conduct investigations when necessary and escalate significant or unresolved issues to senior managers in Compliance and the business units.
Requirements:
5-8 years’ relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator.
Candidates with relevant experience in surveillance for equity and fixed income sales and trading, institutional is preferred.
Asia Pacific regional exposure preferred.
Interested candidates, please send your CV to Denise Lim at denise.lim@talent2.com quoting reference number BO-DL-26059.
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