Compliance Officer, Compliance

Key Areas of Responsibilities

• Day to day operation of SMARTS monitoring tool and analysis of triggered alerts related to APAC wide Equities and Derivatives transactions
• 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, DOI position checks and E-comm Surveillance

Requirements

• Bachelor’s or Master’s in Commerce and Finance/Banking.
• 5-10 years of relevant experience in Trade Surveillance.
• Experience in building relationships with stakeholders’ Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
• Familiarity with SMARTS / IRESS/ Qlik Sense systems will be an added advantage.
• Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
• Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
• 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.
• Investigative skills and flexible to learn other aspects of compliance.
• Attention to detail and process oriented
• Self-motivated, desire to be challenged and eager to learn
• Proficient in Word and Excel
• Good prioritization, organizational and multi-tasking skills
• Good interpersonal skills and excellent written/oral communication skills.

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