Manager, Trade Surveillance

Phillip Capital Group; Kuala Lumpur; On-site; MYR 180,000 - 250,000; Full time

Job summary

A financial services firm in Kuala Lumpur is seeking a Trade Surveillance Manager to oversee daily trading activities and ensure compliance with regulatory standards. The ideal candidate will have over 7 years of experience in trade surveillance and a solid understanding of capital markets. Responsibilities include monitoring trading practices, collaborating with compliance teams, and enhancing surveillance tools. This role offers a comprehensive benefits package including medical and education support.

Benefits

Medical

Miscellaneous allowance

Education support

Insurance

Vision

Company Trip/Team Building

Qualifications

• Over 7 years of experience in trade surveillance, compliance, or trading-related roles.
• Strong understanding of Bursa Malaysia rules and SC Malaysia regulations.
• Solid grasp of trading strategies and execution behavior.

Responsibilities

• Oversee the daily surveillance of share trading activities.
• Review and investigate alerts generated by surveillance systems.
• Ensure compliance with Rules of Bursa Malaysia Securities.

Skills

Trade surveillance

Stakeholder engagement

Data analytics

Regulatory compliance

Communication skills

Education

Bachelor’s degree in Finance, Business, Economics, Banking or related field

Tools

BTX

FRA

Excel

Job description

Overview

Candidate to possess deep knowledge of capital markets, trading strategies, and regulatory frameworks, and will be responsible for overseeing surveillance activities to detect potential market abuse, insider trading, and violations of regulatory or internal policies.

Responsibilities

• Oversee the daily surveillance of share trading activities, including institutional and proprietary trading, to identify potential market misconduct such as insider trading, front-running, spoofing, layering, and other forms of market manipulation.
• Work closely with Group Compliance and Business to review the adequacy of the alerting rules and thresholds, by regular meetings to review and share best practices.
• Review and investigate alerts generated by surveillance systems; escalate significant issues and document findings with clarity and accuracy.
• Collaborate closely with trading desks, risk, legal, and compliance teams to resolve escalated matters and implement preventive controls.
• Ensure compliance with Rules of Bursa Malaysia Securities, SC Malaysia guidelines, and other applicable regulatory frameworks and preparation of Policy & Procedures.
• Maintain and continuously improve the trade surveillance program, including system logic/rule calibration to adapt to evolving trading strategies and regulatory expectations.
• Lead and manage internal reviews or regulatory inspections involving trading activity and surveillance outcomes.
• Provide support and guidance during audits, compliance reviews, and reporting to Bursa Malaysia or Securities Commission Malaysia (SC).
• Investigate potential trading violations or anomalies flagged by automated surveillance tools.
• To report/escalate exception cases to Head of Securities Operations/ Head of Securities Dealing and MTF for deliberation.
• To implement or take action based on MTF’s instruction to mitigate/address any trading misconduct. To highlight emerging trend to Credit & Trade Surveillance and Investment Committee.
• Work with IT and data teams to enhance surveillance tools and reporting capabilities.
• Develop and deliver internal training on market conduct rules and surveillance practices.
• Monitor industry trends, regulatory updates, and market abuse typologies, especially those relevant to the Malaysian capital markets.

Compliance

• To ensure compliance with the rules and regulations of the relevant authorities and policies and procedures of the Company/the group;
• To carry out duties assigned in relation to Anti-Money Laundering’s Act, policies and procedures;
• To carry out recovery actions as outlined in Business Continuity Plan (BCP) in the event of disaster;
• To asso review Manual (Policy & Procedures) on the specific time frame;
• Attend to audit/ inspection by Compliance officers, internal and external auditors.

Requirements

• Bachelor’s degree in Finance, Business, Economics, Banking or related field.
• 7+ years of experience in trade surveillance, compliance, or trading-related roles, preferably with exposure to proprietary and institutional trading.
• Strong understanding of Bursa Malaysia rules, SC Malaysia regulations, and Malaysian capital market structures.
• Knowledge of AML/CFT, communication surveillance, or algo trading oversight adds value.
• Relevant certifications such as CMSRL, or compliance/risk certifications are advantageous.
• Familiarity with trading platforms, order management systems, and surveillance tools (e.g., BTX, FRA and etc).
• Solid grasp of trading strategies, order types, and execution behavior across different market participants.
• Experience in conducting investigations and preparing reports for regulatory or internal review.
• Strong stakeholder engagement skills with the ability to liaise with front office, compliance, legal, and regulators.
• Proficiency in Excel, or data analytics tools to support investigations and rule development.
• Excellent communication, analytical, and leadership skills.

About Philipp Capital

Phillip Capital is a group of companies which offers a full range of quality and innovative financial services to retail, corporate and institutional customers. We operate in the financial hubs of 15 countries, with offices in Singapore, United Kingdom, USA, France, China, Hong Kong, Thailand, Japan, Australia, Malaysia, Indonesia, Turkey, India, Dubai and Cambodia.

Perks and Benefits

• Medical
• Miscellaneous allowance
• Education support
• Insurance, Vision, Company Trip/Team Building

Location: Kuala Lumpur City Centre, Kuala Lumpur, MY

Posted: 24d ago