AVP / Senior Associate, Compliance Officer, Group Legal, Compliance & Secretariat
Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders. Job Purpose
- Support the surveillance efforts in relation to the activities in the business.
- Monitoring of alerts generated by the market surveillance tool and ensure effective review and action.
- Support Head Compliance to manage other compliance, AML and regulatory matters.
- Perform monitoring of trading activities using the automated market surveillance tool, to ensure fair and orderly market.
- Ensure timely and effective disposition of alerts including identification and escalation of out of pattern or suspicious activities.
- First level investigation into the alerts and coordinate with other stakeholders including trading operations and business development teams to review and investigate any out of pattern activity / alerts which require further investigation.
- Ensuring that monitoring procedures and parameters are updated to facilitate change in business and market conditions.
- Liaising and working closely with Technology team and external vendors to enhance existing processes and develop new or to automate processes/systems and monitoring tools.
- Participating in implementation activities, including UAT and business integration
- Providing support to Compliance head and business units for managing audits (internal and external) and any other activities, including compliance testing.
- Degree/Diploma or professional qualification in accountancy, finance or related field
- Experience of 5 years in compliance and middle office work in exchanges and / or financial services industry.
- Prior experience in managing market surveillance process.
- Experience in middle office or compliance function of a Recognised Market Operator, approved exchange, or other form of regulated trading platform would be desirable.
- Experience in conducting market surveillance for either an exchange, broker or other FI would be advantageous.
- Experience in managing compliance for capital markets and legal knowledge would be added advantage.
- Good understanding of emerging trends around digital products would be an added advantage
- Good analytical and problem skills
- Good communication and presentation skills
We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.