Executive, Trade Surveillance

PhillipCapital; Singapore; On-site; SGD 60,000 - 110,000; Full time

Job summary

PhillipCapital in Singapore invites you to join the Credit Risk Management team to establish a Trade Surveillance Framework and lead investigations into irregular trading and operational activities. You will ensure policy and regulatory compliance and interact with regulators as needed.

The role requires reviewing surveillance reports, analyzing client trading patterns to detect breaches, and contributing to policy enhancements while collaborating with internal stakeholders.

Qualifications

• Degree in business disciplines with relevant experience.
• Familiarity with stock market trading or trade surveillance preferred.
• Candidates with VBA/Python coding experience would be advantageous.
• Strong integrity and work ethics with excellent communication skills.

Responsibilities

• Daily review and analysis of trade surveillance reports and recommend actions.
• Escalation of regulatory breaches and filing of Suspicious Transactions Report.
• Periodic review and enhancement of trade surveillance policies and procedures.
• Liaise with internal stakeholders and regulators on findings and reporting.
• Ad-hoc duties and development projects assigned by Management.

Skills

Analytical mindset

Integrity

Interpersonal skills

English proficiency

Education

Bachelor's degree in Business/Accounting/Economics/Finance

Tools

VBA

Python

Job description

As part of the Credit Risk Management (CRMD) team, you will be establishing a Trade Surveillance Framework and take charge of any investigations relating to irregular trading or operational related activities. You will ensure compliance of the Company’s policies, SGX Regulations and SFA Requirements.

The daily duties include reviewing various forms of reports, analyzing clients’ profile and trading activities for various groups of clients to detect behaviours that may breach the Regulatory Rules or Company policies.

Job Scope:

• Daily review and analysis of trade surveillance exception reports, and recommendation of remedial and corrective actions
• Escalation of any breaches of Regulatory Requirements and filing of Suspicious Transactions Report
• Periodic review of Company trade surveillance policies and procedures, and implement enhancements to existing practices
• Liaise with Internal stakeholders and external Regulators on major findings and reporting
• Ad-hoc functions / duties and development projects assigned by Management

Requirements:

• Degree in Business, Accounting, Economics, Finance, or related business discipline degree, with relevant experience
• Familiarity with stock market trading or Trade Surveillance preferred
• Candidates with VBA/Python coding experience would be advantageous
• Possess strong analytical mind
• Possess strong integrity and work ethics
• Excellent interpersonal, communication and written skills
• Good command of English
• Candidates with 2-3 years of relevant experience may be considered for a senior role