Senior Associate AVP, Trade Surveillance & Market Integrity

Merries Executive Search; Singapore; On-site; SGD 180,000 - 260,000; Full time

Job summary

Merries Executive Search is seeking an experienced compliance professional to support its capital markets business, with a strong focus on trade surveillance, e-communication monitoring, compliance reviews and Control Room activities.

The role will review trading across equities and derivatives, investigate alerts, and support the ongoing monitoring programme, Control Room records, and information-barrier controls.

Qualifications

• Degree in Business, Finance, Accountancy, Economics or a related field.
• 6–8 years of compliance experience in banking, securities or capital markets.
• 3–4 years hands-on trade surveillance experience, including Singapore and overseas markets.
• Familiarity with NASDAQ SMARTS surveillance tool.
• Strong investigative and analytical abilities.
• Excellent communication skills.
• Solid knowledge of SFA, FAA, MAS requirements and SGX rules.

Responsibilities

• Review trading activities across equities and derivatives for possible market abuse, manipulation or insider trading.
• Investigate trade and e-communication alerts, document findings and escalate potential breaches where required.
• Support the ongoing compliance monitoring programme and conduct thematic or desk reviews.
• Maintain Control Room records, including restricted/watch lists and insider-related registers.
• Perform conflict checks and support information-barrier controls for investment banking transactions.
• Review staff personal trading requests and related monitoring.
• Support regulatory reporting, submissions and information requests from MAS, SGX and other authorities.
• Maintain compliance records and assist with compliance reporting, training and staff declarations.
• Participate in surveillance-system improvement and enhancement projects.

Skills

Investigative abilities

Analytical skills

Communication skills

Capital markets knowledge

Education

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

Tools

NASDAQ SMARTS

Job description

Merries Executive Search is seeking an experienced compliance professional to support its capital markets business, with a strong focus on trade surveillance, e-communication monitoring, compliance reviews and Control Room activities.

The role will review trading across equities and derivatives, investigate alerts, and support the ongoing monitoring programme, Control Room records, and information-barrier controls.