The candidate will support the Legal, Regulatory and Compliance Department (“LCD”) and reports to the Chief Regulatory Officer.
Key Duties and Responsibilities:
1) Market Surveillance
a) Identify potential market misconduct and other behaviour that impact APEX’s operation of a fair,
orderly and transparent market
b) Review and implement frameworks, policies and procedures to enhance APEX’s trade
surveillance and investigations of market misconduct
c) Perform regular/daily tasks to monitor market activity, including, but not limited to:
(i) Analysis of trading alerts triggered for unusual transactions and orders
(ii) Escalation of suspicious trading behaviour for investigations and/or to the regulators
(iii) Review and update of alert parameters and logic
d) Liaise with regulators and other law enforcement agencies on relevant matters when necessary.
2) Regulatory Compliance
a) Develop and strengthen the compliance culture in APEX and related entities
b) Review and implement policies and procedures to monitor and enhance APEX’s internal controls
c) Ensure APEX’s compliance with regulatory obligations under the Securities and Futures Act, and
related regulations, including, but not limited to, submission of regulatory returns, assessment of
potential non-compliance and breaches, and supporting departments in their compliance needs.
d) Maintain effective communications and relationships with APEX’s regulators, such as the
Monetary Authority of Singapore
3) Corporate Governance
a) Review and implement processes and procedures to strengthen APEX’s internal governance
b) Assist the Corporate Secretary in matters related to corporate governance and the Board of
directors
c) Maintain effective communications and relationships with APEX’s shareholders and the Board of
directors
4) Support other related functions undertaken by LCD, including review of whistleblowing complaints
and disciplinary breaches.
Requirements:
- University degree from reputable institutions.
- At least 3 years’ relevant working experience in derivatives trading compliance or derivatives trading surveillance. Investigation/law enforcement background is a plus.
- Team player with good writing, communication and interpersonal skills, including excellent Chinese proficiency.
- IT literacy and ability to work with large datasets are preferred.
