Associate, Trade Surveillance (Compliance)

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD.; Singapore; On-site; SGD 70,000 - 110,000; Full time

Job summary

CGS INTERNATIONAL SECURITIES SINGAPORE PTE. LTD. is seeking a detail-oriented Compliance Officer, Trade Surveillance to safeguard market integrity by monitoring trading activities, reviewing alerts, and supporting regulatory enquiries.

The role offers exposure to Singapore's markets working with Compliance, AML, Front Office, Operations, and regulators. The candidate will develop expertise in market conduct surveillance, market abuse detection, and regulatory compliance within a fast-paced

Qualifications

• Diploma or degree in finance, business, economics, accounting, or related fields.

Responsibilities

• Monitor trading activities using Nasdaq SMARTS surveillance.
• Review and investigate surveillance alerts for market misconduct.
• Analyze trading patterns and client behaviour to assess risk.
• Document findings and provide clear recommendations.
• Support regulatory reviews and enforcement investigations.
• Prepare investigation summaries and escalation papers.
• Maintain records and meet required timelines.
• Contribute to policy updates and surveillance framework enhancements.

Skills

Analytical

Investigative

Problem solving

Attention to detail

Stakeholder mgmt

Communication

Education

Diploma or Degree in Finance, Business, Economics, Accounting, or a related field

Tools

Nasdaq SMARTS

Actimize

Microsoft Excel

Job description

Role Overview

We are looking for a detail-oriented and analytical Compliance Officer, Trade Surveillance to join our Compliance team. In this role, you will help safeguard market integrity by monitoring trading activities, investigating unusual trading behaviour, reviewing surveillance alerts, and supporting regulatory enquiries.

This is an excellent opportunity for candidates interested in developing expertise in market conduct surveillance, market abuse detection, securities and derivatives trading, and regulatory compliance. You will gain exposure to Singapore's financial markets while working closely with Compliance, AML, Front Office, Operations, and regulatory authorities.

Key Responsibilities & Accountabilities

Trade Surveillance Monitoring and Investigations

• Monitor securities and derivatives trading activities using surveillance systems such as Nasdaq SMARTS.
• Review and investigate surveillance alerts to identify potential market misconduct, including market manipulation, spoofing, layering, wash trades, and other suspicious trading activities.
• Analyse trading patterns, client behaviour, and account relationships to assess risks and determine appropriate actions.
• Document investigation findings and accelerate significant concerns with clear recommendations.

Regulatory and Enforcement-Related Reviews

• Support reviews arising from regulatory enquiries, production orders, and enforcement investigations.
• Gather and analyse trading records, account information, and other relevant data.
• Liaise with stakeholders across the business to obtain information and clarify trading activities.
• Assist in responses to regulators, exchanges, and internal stakeholders.

Trade Surveillance Reporting, Escalation and Regulatory Notifications

• Prepare investigation summaries, management reports, and escalation papers.
• Support the preparation of Suspicious Transaction Reports (STRs) where required.
• Review Direct Business (Married Deal) applications and facilitate exchange notifications when applicable.
• Maintain accurate records and ensure reviews are completed within required timelines.

Surveillance Parameter Review, Alert Calibration and Framework Enhancement

• Support the review and calibration of surveillance alerts and monitoring parameters.
• Assist in identifying emerging market conduct risks and control improvements.
• Participate in projects to enhance surveillance coverage, systems, and processes.
• Contribute to policy updates, regulatory inspections, audits, and ongoing compliance initiatives.

Skills & Qualifications

• Diploma or Degree in Finance, Business, Economics, Accounting, or a related field.
• 1-5 years' experience in Compliance, Trade Surveillance, Regulatory Compliance, or a related function. Fresh graduates with relevant internships are welcome to apply.
• Knowledge of securities and derivatives trading, market conduct, and surveillance concepts.
• Strong analytical, investigative, and problem-solving skills with attention to detail.
• Proficient in Microsoft Excel and report writing.
• Familiarity with MAS/SGX regulations and surveillance systems (e.g. Nasdaq SMARTS, Actimize) is advantageous.
• Experience within a brokerage, bank, exchange, or financial institution is a plus.

Personal Attributes

• High integrity, professionalism, and sound judgement.
• Curious, detail-oriented, and solutions-focused.
• Strong communication and stakeholder management skills.
• Able to work independently, manage multiple priorities, and thrive in a fast-paced environment.
• Eager to build expertise in market conduct, surveillance, and regulatory compliance.