Manager, Compliance

  • Competitive
  • Singapore
  • Permanent, Full time
  • KGI Securities (Singapore) Pte. Ltd
  • 16 Nov 18

Trade surveillance, breaches of regulatory requirements or misconduct or company policies and assist Head of Department to carry out specific compliance tasks or projects

Responsibilities

  • Assist in developing trade surveillance policies and procedures for monitoring trading activities for any trading misconduct and money laundering suspicious transactions
  • Conduct daily review of trade surveillance exception reports, follow-up on exceptions noted and determine and recommend remedial or preventive actions  
  • Review trade error reports and follow up on any irregularities noted
  • Escalate any breaches of regulatory requirements or misconduct or company policies
  • Conduct periodic review of company trade surveillance policies and procedures with the view to implement enhancements, if any to existing practices
  • Conduct investigation into any complaints or feedback received on any potential trading irregularities
  • Liaise with relevant regulators, Head Office on any major findings
  • Conduct awareness training to trading representatives and relevant department employees on trading practices that are prohibited under applicable laws, regulations and exchange rules
  • Assist Head of Department to carry out specific compliance tasks or projects as and when assigned

Requirements

  • Degree holder with 3-5 years relevant experience
  • Familiarity with the  relevant  laws, regulations and exchange rules in the securities and futures market is an added advantage.
  • Meticulous, positive attitude and pro-active
  • Strong communication, interpersonal, analytical and organizational skills
  • Team player yet able to work independently and interact with people at all levels
  • Relevant experience in exchanges ( e.g. in market surveillance or supervision departments ) public accounting firms, securities and futures brokerage firms and other financial institutions are encouraged to apply

Interested applicant, who wish to apply for the advertised position, please submit your resume via the button APPLY NOW below.

We regret that only short listed candidates will be notified.