Compliance

Job Highlight

• Career Advancement Opportunities
• Professional Development and Training
• Central work location

Job scope

This role is crucial for maintaining the integrity of trading activities and ensuring compliance with regulations and company policies.

Key Responsibilities:

1. Develop and maintain trade surveillance policies and procedures to effectively monitor trading activities, including identifying potential trading misconduct and money laundering transactions.
2. Conduct daily reviews of trade surveillance exception reports, promptly identify exceptions, and recommend necessary remedial or preventive actions.
3. Review trade error reports and follow up on any irregularities or discrepancies, ensuring prompt resolution.
4. Escalate any breaches of regulatory requirements, trading misconduct, or company policies to the appropriate authorities.
5. Periodically review and update the company's trade surveillance policies and procedures, implementing enhancements to existing practices as needed.
6. Conduct thorough investigations into complaints, feedback, and potential trading irregularities, and address any breaches of regulatory requirements detected during reviews or reported incidents.

Job Requirements

• Bachelor's degree in finance, economics, or a related field (advanced degree or certification is a plus).
• Proven experience in trade surveillance, compliance, or a related field within the financial industry.
• In-depth knowledge of regulatory requirements, trading practices, and money laundering detection.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal abilitieDegree holder

Company Reg No.: 201131609 | Licence No.: 11C4684 | EA Reg no: R1980997, Lim Yee Ling