Associate, Compliance

Job Description

1. Trade Surveillance & e-Communication Surveillance

1. Execute trade surveillance program to monitor trading activities for equities/derivatives in Singapore and foreign markets for signs of market abuse, manipulation, insider trading, and other misconduct.
2. Conduct daily reviews of trade surveillance alerts generated by surveillance systems, investigate anomalies, document findings, and escalate potential breaches.
3. Conduct daily review of alerts generated by e-communication surveillance tools to monitor employee electronic communications for compliance with internal policies and regulatory requirements.
4. Review alert parameters/threshold in surveillance to ensure appropriateness and propose any required changes.
5. Participate in projects on implementation of surveillance systems.

2. Compliance Monitoring & Review

1. Maintain and execute the ongoing Compliance Monitoring Programme specific to the capital markets businesses of the Company.
2. Conduct Compliance desk reviews/thematic reviews, as may be required, based on emerging risks or new regulatory requirements.

3. Control Room Operations

1. Maintain and update Restricted List, Watch List, Permanent Insider List, and Wall-Crossing List etc.
2. Perform conflict of interest checks for investment banking deals.
3. Monitor potential conflicts of interest, deal clearances, and ensure appropriate information barriers are maintained between public and private side teams.
4. Provide guidance and support to front-office and support functions on Control Room protocols, MNPI handling, and internal escalation procedures.
5. Provide clearance for staff personal trading, and conduct monitoring.

4. Core Compliance

1. Collate and prepare information/documents for regulatory requests.
2. Assist with regulatory reporting.
3. Liaise with relevant internal stakeholders to complete surveys/forms/questionnaires requested by MAS/SGX.
4. Ensure all compliance correspondences/records and registers are duly tracked and maintained.
5. Conduct compliance induction training to new staff and other basic training as may be required by the Head of Compliance.
6. Track and follow up with staff on completion of Compliance trainings and declarations.
7. Assist with the preparation of compliance reports/KRIs to local management and MIBG.
8. Assist with all other ad-hoc tasks as required by the Head of Compliance.

Job Requirements

Requisite

1. At least 3 years of experience in performing trade surveillance in Singapore and foreign equities, and familiarity with trade surveillance systems, including, NASDAQ SMARTS, with demonstrated track record.

Other Requirements

1. Bachelor's degree in business, finance, accountancy, economics or higher.
2. At least 6 - 8 years of compliance experience in brokerage firms, fund management companies, or banks.
3. Working knowledge of SFA, FAA, other relevant MAS regulations and guidelines and rules of SGX.
4. Good working knowledge of PDPA and IRAS Regulations on International Tax such as FATCA and Common Reporting Standards.
5. Strong analytical, investigative, and communication skills.
6. Good understanding of capital markets, investment banking and business needs.