AM/M, Compliance Assurance Officer (Surveillance) AM/M, Compliance Assurance Officer (Surveillance) …

OCBC Bank
in Singapore
Permanent, Full time
Last application, 09 Apr 21
Competitive
OCBC Bank
in Singapore
Permanent, Full time
Last application, 09 Apr 21
Competitive
OCBC Bank
AM/M, Compliance Assurance Officer (Surveillance)
Roles and Responsibilities:
  • Provide support in trade surveillance on market abuse and trading irregularities
  • Assist in conducting investigations and reviews on irregular trading activities
  • Assist in the monitoring of staff trading
  • Support the team in collaborations with various Business Units to enhance compliance controls over business processes.
  • Assist in the liaison with internal parties and regulatory bodies on matters concerning markets and trading activities
  • Conduct presentations and training
  • Ad hoc tasks/projects as required
  • Other duties that will be assigned from time to time
Reporting :-
VP, Compliance Assurance & Onboarding

Qualifications
Requirements:
  • Degree in Finance, Business or other relevant qualifications
  • 1-2 years of relevant experience in Compliance or Control functions.
  • Demonstrated strong control awareness and mindset, Working knowledge of SGX Rules and SFA would be an advantage
  • Able to work with large datasets using Microsoft Office Excel. E.g. Pivot tables, to create reports and presentations.
  • Driven, with good interpersonal, communication and analytical skills, and the ability to work independently and under tight deadlines.

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