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

DBS; Singapore; On-site; SGD 75,000 - 95,000; Full time

Job summary

A major financial institution in Singapore is seeking an AVP, Specialist Business Compliance to lead trade surveillance monitoring and ensure compliance with regulations. The ideal candidate will have a degree in Accountancy or Finance, 4 to 5 years of compliance experience, and strong analytical skills. Responsibilities include monitoring alerts, conducting reviews, and liaising with technology teams for system improvements. This position offers a competitive salary and dynamic work environment.

Benefits

Competitive salary

Benefits package

Dynamic work environment

Qualifications

• 4 to 5 years of experience in audit/compliance related work.
• 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.

Responsibilities

• Perform trade surveillance monitoring for Global Financial Markets using automated systems.
• Timely review of alerts generated by surveillance systems and internal reports.
• Investigate and close out monitoring alerts thoroughly in a timely manner.

Skills

Trade and/or communication surveillance experience

Good analytical and problem-solving skills

Good communication and presentation skills

Education

Degree in Accountancy, Finance or related field

Job description

Job Description - AVP, Specialist Business Compliance, Group Legal, Compliance & Secretariat (WD79054)

Job Description

AVP, Specialist Business Compliance, Group Legal, Compliance & Secretariat - ( WD79054 )

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.

Apply Now

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.