Junior compliance opportunity: Working as a trade surveillance analyst for this highly reputable financial services firm, you will apply your analytical skills and markets knowledge to monitor trading activity, investigating suspicious activity and suspected market misconduct as needed. Role is open to those from audit, compliance, finance, operations or risk with suitable knowledge of trading, securities dealing or brokerage.
Trade Surveillance
Duties:
- Real-time trade monitoring to detect unusual trading activities, prohibited trading practices or misconducts (using SMARTS)
- Investigating suspected misconduct such as insider trading and market manipulation. Present findings/results to senior management.
- Monitor compliance with SFA and SGX trading rules
- Provide input on business, technology and regulatory issues affecting trading.
- Lead initiatives to enhance the surveillance framework
- Ensure that appropriate systems and procedures are in place to ensure effective and efficient execution of surveillance.
Requirements:
- Degree qualified
- 3-7 years of experience
- Systems experience
- Relevant markets experience working within the financial industry, especially in securities dealing/brokering.
- Knowledge of SFA and SGX trading rules, market conduct rules and regulations useful.
- Excellent written and verbal communication skills
For a confidential discussion on this role, please apply now.
Sloane | Shorey
Sloane Shorey Consulting is a specialist recruitment agency and executive search firm covering hiring within banking and financial services. We are experts in the hiring of compliance, controls and risk management professionals across Asia Pacific. Sloane Shorey is a Ministry of Manpower Licensed Employment Agency: EA License 20S0307.
Live vacancy listings: sloaneshorey.catsone.com/careers
For guidance and resources on job searching, please visit: www.sloanecoach.com
