Day to day operation of SMARTS monitoring tool and analysis of triggered alerts related to APAC wide Equities and Derivatives transactions
Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary
Drive continuous improvement of the surveillance framework including refinement and calibration
Contribute to the implementation of strategic department projects including global and regional initiatives.
Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation
Assist in the production of effective management information reports for Senior Management
Contribute to team discussions, investigations and knowledge acquisition
Good understanding of the trade surveillance terminologies and types of market manipulations.
Candidate should be flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, DOI position checks and E-comm Surveillance
Requirements
Bachelor’s or Master’s in Commerce and Finance/Banking.
5-10 years of relevant experience in Trade Surveillance.
Experience in building relationships with stakeholders’ Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
Familiarity with SMARTS / IRESS/ Qlik Sense systems will be an added advantage.
Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.
Strong compliance mindset, confidence to question the ‘status quo’ and challenge stakeholders when the responses are not satisfactory.
Investigative skills and flexible to learn other aspects of compliance.
Attention to detail and process oriented
Self-motivated, desire to be challenged and eager to learn
Proficient in Word and Excel
Good prioritization, organizational and multi-tasking skills
Good interpersonal skills and excellent written/oral communication skills.
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