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
VP, Compliance Assurance & Onboarding Qualifications
- 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.