Monitoring and Surveillance Officer (AVP)

  • SGD80000 - SGD125000 per annum + perm role benefits
  • Singapore
  • Permanent, Full time
  • Nicoll Curtin - Singapore , EA Licence No: 11C5620
  • 14 Oct 17 2017-10-14

Monitoring and Surveillance Officer to assist in the prevention and detection of market abuse which, through an array of monitoring systems and tools, is a critical function of the Market Integrity domain, helping to protect the bank from reputational and financial risk arising from its global banking and markets business.

Monitoring and Surveillance Officer to assist in the prevention and detection of market abuse which, through an array of monitoring systems and tools, is a critical function of the Market Integrity domain, helping to protect the bank from reputational and financial risk arising from its global banking and markets business.


You will be required...

  • To conduct trade surveillance for Equities, Fixed Income and its derivatives for potential market misconduct.
  • To assess adequacy of existing surveillance model, and propose new models to be in line with regulatory requirements and perform user acceptance testing the new models.
  • To conduct electronic communications monitoring for potential market misconduct.
  • To conduct manual monitoring for potential market manipulations and legal/regulatory violations.
  • Ensure that all surveillance framework and processes are well maintained and kept relevant.
  • Collate the necessary information on the M&S task for the preparation of periodic management reporting.
  • Assist in ad-hoc requests and investigations from internal & external audit, regulator and etc.
  • Assist in ensuring the MI Generic Control Plan is kept up to date with changes from Head Office.
  • Assist in conducting monitoring of the relevant controls under MI Generic Control Plan.
  • Managing other M&S related projects such as Outsourcing, Proof of Concept etc.
  • Keeping abreast of regulatory changes and market conditions/developments

Technical and Behavioural Competencies required

  • Basic computer skills
  • Able to work well both independently and in a team
  • Able to work under tight timeline when required
  • Maintain data confidentiality when working on classified projects, requests etc.
  • Good interpersonal skills

Experience and Qualifications required

  • Tertiary educated, preferably with a business-related degree.
  • Relevant working experience in the financial industry, preferably in the area of compliance, audit or control