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) 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
3) Support other related functions undertaken by LCD, including review of whistleblowing complaints and
disciplinary breaches.
Requirements:
- University degree from reputable institutions.
- 5 years or more relevant working experience in derivatives trading or derivatives trade surveillance. Investigation/law enforcement background is a plus.
- Team player with good writing, communication and interpersonal skills.
- IT literacy and ability to work with large datasets are preferred.
