Assistant Manager, Trade Surveillance

Compliance & Risk (Banking & Financial Services)

• To investigate and liaise with branches and business for transaction monitoring trigger and make recommendation to supervisor;
• To analyze and conduct monitoring for all triggers under activities of AML and trade surveillance;
• To work closely with Group Compliance and Business to review of the adequacy of the alerting rules and thresholds, by way of having a regular meeting in order to review and share best practices;
• To review and propose on the threshold and parameters set for AML and trade surveillance system to Management Task Force (MTF);
• To review policies and procedures relating to trade surveillance and AML functions and makes recommendation to MTF for any changes;
• To monitor, analyze and investigate on the alerts generated by the system;
• To report/ escalate exception cases to Head of Securities Operations/ Head of Dealing and MTF for deliberation;
• To implement or take action based on MTF’s instruction to mitigate/ address any trading misconduct. To highlight emerging trend to MTF

Requirements: 

• Bachelor Degree in any related fields with minimum 3-5 years of experience in Stock Broking company or Investment Bank.
• Team player with excellent interpersonal and networking skill.
• Strong organisational and time management abilities and ability to offer operational solutions.
• Detail oriented and willingness to explore new challenges for continuous improvement.

Phillip Capital is a group of companies which offers a full range of quality and innovative financial services to retail, corporate and institutional customers. We operate in the financial hubs of 15 countries, with offices in Singapore, United Kingdom, USA, France, China, Hong Kong, Thailand, Japan, Australia, Malaysia, Indonesia, Turkey, India, Dubai and Cambodia.

Phillip Capital is a group of companies which offers a full range of quality and innovative financial services to retail, corporate and institutional customers. We operate in the financial hubs of 15 countries, with offices in Singapore, United Kingdom, USA, France, China, Hong Kong, Thailand, Japan, Australia, Malaysia, Indonesia, Turkey, India, Dubai and Cambodia.

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Perks and benefits

Medical

Miscellaneous allowance

Education support

Insurance, Vision, Company Trip/Team Building

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