AVP, Specialist Business Compliance, Group Legal, Compliance & Secretariat

DBS Bank Limited; Singapore; On-site; SGD 70,000 - 90,000; Full time

Job summary

A leading financial institution in Singapore is seeking a compliance professional to perform trade surveillance monitoring and ensure adherence to regulations. The ideal candidate will have a degree in Accountancy or Finance and 4-5 years of experience in audit or compliance related work, with good analytical and communication skills. This role offers a dynamic environment with significant responsibilities.

Qualifications

• 4 to 5 years of experience in audit/compliance related work.
• Trade and/or communication surveillance experience preferred.
• Working knowledge of relevant rules and regulations regarding market conduct/market abuse preferred.

Responsibilities

• Perform trade surveillance monitoring for Global Financial Markets.
• Conduct reviews of communications and alerts for GFM.
• Investigate and close out monitoring alerts in a timely manner.

Skills

Good analytical and problem-solving skills

Good communication and presentation skills

Education

Degree in Accountancy, Finance or any related field

Job description

Business Function

Group Legal, Compliance & Secretariat ensures that the bank's interests are protected by zealously guarding and enhancing its reputation and capital. We also work to maintain a good standing with all our regulators, customers, and business partners. Because we believe that at the heart of business banking is to uphold the values of trust and integrity for all our stakeholders.

Responsibilities

• Perform trade surveillance monitoring for Global Financial Markets (GFM) using the automated trade surveillance system and internal reports to ensure compliance with SGX, MAS and other requirements in relation to Market Abuse/Market Conduct.
• Perform communications review for GFM such as reviewing alerts in ECRUISE system, conduct voice monitoring, sampling review, reviewing of emails, tape recordings etc.
• Timely review of alerts generated by surveillance systems and internal reports.
• Review and management of exceptions and prepare reports to management.
• Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure that significant issues identified are fully investigated and promptly escalated (e.g. UAE/STR) where necessary.
• Ensure that monitoring procedures and parameters are updated to facilitate change in business and market conditions.
• Liaise and work closely with Middle Office Technology team and external vendors to enhance existing processes and develop new and automated systems and/or monitoring tools.
• Participate in implementation activities, including user acceptance testing and business integration.

Requirements

• Degree in Accountancy, Finance or any related field.
• 4 to 5 years of experience in audit/compliance related work. Trade and/or communication surveillance experience preferred.
• Working knowledge of relevant rules and regulations, particularly in relation to market conduct/market abuse preferred.
• Compliance best practices and understanding of capital market products and systems preferred.
• Good analytical and problem-solving skills.
• Good communication and presentation skills.