Executive, Trade Surveillance

Phillip Capital Inc.; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

Phillip Securities Pte Ltd (A member of PhillipCapital) is seeking a Credit Risk Management professional to establish a comprehensive Trade Surveillance Framework and handle investigations into irregular trading or operational activities. You will ensure compliance with SGX and SFA requirements, reviewing reports and client activity for compliance.

Daily duties include reviewing surveillance reports, analyzing client profiles, and detecting behaviours that may breach regulatory rules.

Qualifications

• Degree in any discipline with relevant experience.
• Familiarity with stock market trading or Trade Surveillance preferred.
• Candidates with VBA/ Python coding experience would be preferred.

Responsibilities

• Daily review and analysis of trade surveillance reports and recommend remedial actions.
• Escalation of breaches of Regulatory Requirements and filing of SARs.
• Periodic review of trade surveillance policies and procedures and implementation of enhancements.
• Liaise with internal stakeholders and external Regulators on major findings and reporting.
• Ad-hoc functions and development projects assigned by Management.

Skills

Analytical skills

Interpersonal skills

Communication skills

Written communication

English proficiency

Stock market knowledge

Trade Surveillance

VBA/Python coding

Education

Bachelor's degree

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 violate 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 any discipline with relevant experience
• Familiarity with stock market trading or Trade Surveillance preferred
• Candidates with VBA/ Python coding experience would be preferred
• 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

We regret that only shortlisted candidates will be notified.

Brought to you by Phillip Securities Pte Ltd (A member of PhillipCapital)